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Lee J Leonard

LPl Financial LLC

West Des Moines, IA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-03-26
IA RA APPROVED 2009-11-17
  • TX RA
    APPROVED
    Since 2013-03-26
  • IA RA
    APPROVED
    Since 2009-11-17

Branch Locations

6600 Westown Pkwy Ste 260, West Des Moines, IA 50266 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial West Des Moines IA 11/2009 Present
  • 11/2009 → Present
    Lpl Financial
    West Des Moines, IA
Previous Registrations
  • 2009-06-01 → 2009-11-17
    Morgan Stanley
    West Des Moines, IA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    West Des Moines, IA
  • 1999-01-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    West Des Moines, IA
    Des Moines, IA
Other Businesses

1) 11/13/2009 - DBA ONLY - ASPEN FINANCIAL SERVICES, INC.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-12-04
  • S63 Uniform Securities Agent State Law Examination
    1985-12-04
Designations
Other Names
  • Lee John Leonard

View on SEC IAPD

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Other Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE
EDDIE RAY COLEMAN
JAMES LAWRENCE LUMLEY
CONOR J BOFFELI
Signe Olson
ANDREW JAY HIMELSON

Other Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA
FOSTER GROUP, INC. · WEST DES MOINES, IA
KSA PARTNERS, LLC · WEST DES MOINES, IA
ARETE WEALTH ADVISORS, LLC · WEST DES MOINES, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST DES MOINES, IA
PARK AVENUE SECURITIES LLC · West Des Moines, IA

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