Leonard A. Weiss
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.
Leonard Avery Weiss was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1977. Leonard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2010 - July 14, 2025
RAYMOND JAMES & ASSOCIATES, INC.
November 4, 2005 - July 14, 2025
RAYMOND JAMES & ASSOCIATES, INC.
July 1, 2003 - November 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 13, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 31, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 3, 1996 - September 10, 2001
LPL FINANCIAL LLC
July 31, 1993 - April 8, 1996
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 20, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
January 22, 1986 - July 30, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
August 22, 1983 - January 16, 1986
LEHMAN BROTHERS INC.
November 18, 1981 - August 29, 1983
E. F. HUTTON & COMPANY INC
November 22, 1977 - March 6, 1982
LEHMAN BROTHERS INC.
July 1, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
Company Information
RAYMOND JAMES & ASSOCIATES, INC.
Financial AdvisorCRD#: 705TRUST BUT VERIFY
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