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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-11-10
  • CO RA
    APPROVED
    Since 2020-11-10

Branch Locations

5720 Zephyr Street, Arvada, CO 80002 • United States

47 Iowa Ct, Red Feather Lakes, CO 80545 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Avantax Investment Services, Inc. Arvada CO 05/2000 11/2020
Avantax Advisory Services Arvada CO 03/2009 11/2020
Canty's Financial Strategies Inc Arvada CO 01/1994 Present
National Guardian Life Insurance Company Woodland Hills CA 02/2018 11/2020
Avantax Insurance Agency, Llc Arvada CO 10/2018 11/2020
Commonwealth Financial Network Waltham MA 11/2020 Present
  • 05/2000 → 11/2020
    Avantax Investment Services, Inc.
    Arvada, CO
  • 03/2009 → 11/2020
    Avantax Advisory Services
    Arvada, CO
  • 01/1994 → Present
    Canty's Financial Strategies Inc
    Arvada, CO
  • 02/2018 → 11/2020
    National Guardian Life Insurance Company
    Woodland Hills, CA
  • 10/2018 → 11/2020
    Avantax Insurance Agency, Llc
    Arvada, CO
  • 11/2020 → Present
    Waltham, MA
Previous Registrations
  • 2009-03-03 → 2020-11-17
    Avantax Advisory Services
    Arvada, CO
Other Businesses

1. Fixed insurance sales; as of 11/10/2020; 5% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Canty's Financial Strategies, Inc., a Private Entity established to facilitate Securities, advisory, insurance, and tax preparation Business; as of 11/10/2020; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Owner of rental property located in Arvada, CO; and as of 12/01/2001; Less than 1% of time spent during business hours; Not conducted at branch location; Investment related. 4. Tax Preparation and payroll services, Canty's Financial Strategies, Inc.; as of 10/07/2020; 40% of time spent during business hours; Conducted at branch; Not investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-08-17
S65 Uniform Investment Adviser Law Examination 2009-01-31
  • S63 Uniform Securities Agent State Law Examination
    2010-08-17
  • S65 Uniform Investment Adviser Law Examination
    2009-01-31
Designations
Other Names
  • Leona Ann Canty

View on SEC IAPD

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