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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

WINNIE YUEN YEE LEONG

Advisor at LPL FINANCIAL LLC

FULLERTON, CA

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Search this name across graphsid dfx:ria:829e8418-5902-2d66-32d5-87b35d913020

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 25, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 7, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 7, 1995
First registration: May 25, 2000
Dual registered: yes, broker-dealer
Other names: WINNIE YUEN LEONG|WINNIE LEONG
IAPD individual key: 2629989

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 21, 2017	n/a	yes	FULLERTON, CA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Dec 18, 2013	Mar 7, 2017	no	FULLERTON, CA\|FULLERTON, CA\|FULLERTON, CA\|ALHAMBRA, CA	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	May 14, 2009	Dec 18, 2013	no	FULLERTON, CA\|GLENDALE, CA\|ALHAMBRA, CA	Previous registration
AMERICAN GENERAL FINANCIAL ADVISORS, INC.	n/a	Mar 15, 2005	Apr 2, 2009	no	GLENDALE, CA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Oct 4, 2004	Feb 23, 2009	no	WOODLAND HILLS, CA\|WOODLAND HILLS, CA\|GLENDALE, CA\|Glendale, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 25, 2000	Oct 11, 2004	no	PASADENA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Mar 7, 2017	Feb 21, 2017	-14	Firm change	Other
VOYA FINANCIAL ADVISORS, INC.	SECURITIES AMERICA ADVISORS, INC.	Dec 18, 2013	Dec 18, 2013	0	Firm change	Other
AMERICAN GENERAL FINANCIAL ADVISORS, INC.	VOYA FINANCIAL ADVISORS, INC.	Apr 2, 2009	May 14, 2009	42	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	AMERICAN GENERAL FINANCIAL ADVISORS, INC.	Feb 23, 2009	Mar 15, 2005	-1,441	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	VALIC FINANCIAL ADVISORS, INC.	Oct 11, 2004	Oct 4, 2004	-7	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 21, 2017 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Dec 18, 2013 to Mar 7, 2017factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
May 14, 2009 to Dec 18, 2013factForm ADV
→ AMERICAN GENERAL FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 15, 2005 to Apr 2, 2009factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Oct 4, 2004 to Feb 23, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 25, 2000 to Oct 11, 2004factForm ADV

Dated events

No dated event names this entity yet.