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James Thomas Leopold

Arkos Global Advisors, LLC

Houston, TX

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Current Employers
Arkos Global Advisors, Llc

3306 Mercer St., Houston, TX 77027 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-09-02
  • TX RA
    APPROVED
    Since 2021-09-02

Branch Locations

3306 Mercer St., Houston, TX 77027 • 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
Pruco Securities, Llc Houston TX 04/2016 06/2021
The Prudential Insurance Company Of America Houston TX 09/2016 06/2021
Arkos Global Advisors, Llc Houston TX 08/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-23
S63 Uniform Securities Agent State Law Examination 2016-09-01
  • S65 Uniform Investment Adviser Law Examination
    2017-12-23
  • S63 Uniform Securities Agent State Law Examination
    2016-09-01
Other Names
  • James Leopold

View on SEC IAPD

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