Vincent G. Leonardi

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CRD#: 7586197

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Vincent Gino Leonardi, who also goes by VIncent Leonardi, was a registered financial professional .

Vincent is a previously registered financial professional and started their career in finance in 2023. Vincent had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vincent Leonardi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 05/26/2023 - Rockline Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/30/2023 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100% 2. 06/22/2023 - Rockline Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 06/08/2023 - 160 Hours Per Month/ 7 Hours During Securities Trading - I provide investment advisory services through Rockline Wealth Management, an independent investment advisor firm. I started this business activity in 06/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 7, 2023 - April 15, 2024

ROCKLINE WEALTH MANAGEMENT LLC

RIA

CRD#: 324004

PLAINVIEW, NY

Past

June 2, 2023 - May 28, 2024

LPL FINANCIAL LLC

CRD#: 6413

PLAINVIEW, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROCKLINE WEALTH MANAGEMENT LLC

CRD#: 324004 / SEC#: 801-127867

RIA

Registered Investment Advisory firm - (5/1/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/22/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/12/2022

Securities Industry Essentials Examination

Current Firm

ROCKLINE WEALTH MANAGEMENT LLC

CRD#: 324004 / SEC#: 801-127867

RIA

Registered Investment Advisory firm - (5/1/2023 Approved)

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Contact information

Main Address

2701 Sunrise Highway, Islip Terrace, NY 11752

Mailing Address

Phone number

(516) 605-1624

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/31/2025)

Regulatory assets under management

Total Number of Accounts	1,321
AUM (Assets Under Management)	$ 631,676,085

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Vincent G. Leonardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROCKLINE WEALTH MANAGEMENT LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

ROCKLINE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/22/2023

Series 7TO

Date: 6/2/2023

SIE

Date: 8/12/2022

Current Firm

ROCKLINE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCKLINE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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