Max Solomon Leopold

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-11-22
CT	RA	APPROVED	2024-11-15

TX RA
APPROVED

Since 2024-11-22
CT RA
APPROVED

Since 2024-11-15

Branch Locations

West Hartford, CT • United States

20 Tower Lane Suite 500, Avon, CT 06001 • 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

Organization	City	State	From	To
Penn Mutual Life Insurance Company	Horsham	PA	01/2018	Present
Aldi	South Windsor	CT	05/2017	12/2017
Honor, Townsend & Kent	Horsham	PA	02/2019	11/2024
University Of Connecticut	Storrs	CT	06/2015	05/2017
Lpl Financial	West Hartford	CT	11/2024	Present

01/2018 → Present

Penn Mutual Life Insurance Company

Horsham, PA
05/2017 → 12/2017

Aldi

South Windsor, CT
02/2019 → 11/2024

Honor, Townsend & Kent

Horsham, PA
06/2015 → 05/2017

University Of Connecticut

Storrs, CT
11/2024 → Present

Lpl Financial

West Hartford, CT

Previous Registrations

2019-06-17 → 2024-11-18

Hornor, Townsend & Kent, Llc

Norwalk, CT

Avon, CT

Other Businesses

1. 11/13/2024- Leopold Wealth Management- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)- Start Date 11/15/2024 2. 11/13/2024- Leopold Wealth Management- Tax Prep/Accounting/CPA- CT 06107- Inv Rel- 4 Hrs Per Mnth- 1 Hr During Trading- Start Date 01/01/2001 3. 11/13/2024- Leopold Wealth Management- Non-Variable Insurance- CT 06107- Inv Rel- 15 Hrs Per Mnth- 1 Hr During Trading- Start Date 11/01/2019

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-05-16

S66 Uniform Combined State Law Examination

2019-05-16

View on SEC IAPD