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JOSEPH ALBERT LEO
JOE ALBERT LEO
CRD#: 4988004
IA
B
QUARTZ PARTNERS INVESTMENT MANAGEMENTCRD#: 174327 258 GENESEE ST SUITE #506
Utica, NY 13502
Utica, NY 13502
ETICO PARTNERS, LLCCRD#: 122481 258 GENESEE ST
SUITE #506
UTICA, NY 13502
SUITE #506
UTICA, NY 13502
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Alabama 10/12/2018
B
Nevada 5/22/2023
B
California 2/6/2018
B
New Jersey 10/12/2018
B
Colorado 10/12/2018
B
New Mexico 1/30/2018
B
Connecticut 1/30/2018
B
New York 1/30/2018
B
Florida 1/30/2018
IA
New York 5/1/2023
B
Georgia 1/2/2019
B
Pennsylvania 1/30/2018
B
Indiana 1/30/2018
B
Texas 2/6/2018
B
Kansas 6/1/2023
B
Vermont 2/15/2018
B
Maine 11/30/2018
B
Virginia 2/6/2018
SRO Registrations
B
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IA
Registered with this firm since 5/1/2023
B
Registered with this firm since 1/29/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/31/2021 - 12/31/2023 | UTICA, NY | |
B | 01/23/2020 - 05/05/2020 | NEW YORK, NY | |
B | 01/04/2010 - 01/08/2018 | NEW YORK, NY | |
B | 07/07/2005 - 12/31/2009 | NEW YORK, NY |
NEW YORK, NY
07/07/2005 - 12/31/2009
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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.