Individual Firm
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CHARLES CLINTON LEONARD JR
CHARLES CLINTON JR LEONARD, CHARLES LEONARD, CHUCK LEONARD JR, CHUCK LEONARD
CRD#: 1991879
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 Five Greentree Center
525 Route 73 N Ste 200
Marlton, NJ 08053
525 Route 73 N Ste 200
Marlton, NJ 08053
View By:
6/19/2024
Financial
Final
5/23/2024
Judgment / Lien
1/17/2024
Judgment / Lien
10/6/2023
Judgment / Lien
7/27/2023
Judgment / Lien
12/20/2022
Judgment / Lien
9/16/2022
Judgment / Lien
8/4/2022
Judgment / Lien
3/17/2022
Judgment / Lien
4/23/2019
Judgment / Lien
9/27/2016
Customer Dispute
Denied
State Registrations
B
California 11/7/2016
B
New Jersey 11/7/2016
B
Connecticut 5/22/2018
IA
New Jersey 11/7/2016
B
Florida 11/7/2016
B
New York 4/27/2020
B
Maine 11/7/2016
B
North Carolina 11/7/2016
B
Massachusetts 11/7/2016
B
Oregon 1/18/2017
B
Minnesota 7/28/2022
B
Pennsylvania 11/7/2016
B
New Hampshire 11/7/2016
B
South Carolina 9/3/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/7/2016
B
Registered with this firm since 11/7/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/20/2009 - 11/22/2016 | HADDONFIELD, NJ | |
B | 01/20/2009 - 11/22/2016 | HADDONFIELD, NJ | |
IA | 01/29/2009 - 11/10/2016 | HADDONFIELD, NJ | |
IA | 04/02/2008 - 04/28/2009 | PORTSMOUTH, NH | |
IA | 08/14/2003 - 01/21/2009 | PORTSMOUTH, NH | |
B | 08/07/2003 - 01/21/2009 | PORTSMOUTH, NH | |
IA | 04/03/1998 - 09/03/2003 | NEWTON, MA | |
B | 02/10/1998 - 09/03/2003 | NEWARK, DE | |
B | 10/15/1993 - 01/21/1998 | WINDSOR, CT | |
B | 01/10/1994 - 01/08/1998 | HARRISON, NY | |
B | 10/01/1996 - 12/31/1997 | FORT WAYNE, IN | |
B | 01/06/1993 - 10/01/1996 | PORTLAND, ME | |
B | 01/03/1992 - 01/10/1994 | NEW YORK, NY | |
B | 08/03/1992 - 10/15/1993 | HARTFORD, CT | |
B | 10/06/1989 - 03/07/1990 | EDISON, NJ |
PORTSMOUTH, NH
04/02/2008 - 04/28/2009
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.