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RIA / WealthAdvisor37 years in industry

James C. Leo

Advisor at LEO WEALTH MANAGEMENT, LLC

STATEN ISLAND, NY

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Search this name across graphsid dfx:ria:c27e5936-d97b-1616-5e5b-907e7e51a61d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: May 9, 2014 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: LEO WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 29, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Aug 29, 1989
First registration: May 9, 2014
Dual registered: no
Other names: JIM LEO|JAMES CHARLES LEO|James Leo
IAPD individual key: 1911418

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
LEO WEALTH MANAGEMENT, LLC	Independent wealth	Nov 7, 2025	n/a	yes	STATEN ISLAND, NY	Current employment
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Oct 15, 2024	Dec 2, 2025	no	ATLANTA, GA\|STATEN ISLAND, NY	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Oct 11, 2024	Oct 11, 2024	no	Staten Island, NY\|SCOTTSDALE, AZ	Previous registration
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	Nov 17, 2022	Oct 11, 2024	no	HOLBROOK, NY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 8, 2022	Dec 8, 2022	no	STATEN ISLAND, NY\|FORT MILL, SC\|Staten Island, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY	Previous registration
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	May 18, 2015	Nov 8, 2022	no	HOLBROOK, NY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 9, 2014	May 6, 2015	no	STATEN ISLAND, NY\|STATEN ISLAND, NY\|HICKSVILLE, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|SAYREVILLE, NJ\|NORTH YONKERS, NY\|FREEHOLD, NJ\|OLD BRIDGE, NJ\|MATAWAN, NJ\|STATEN ISLAND, NY\|SPOTSWOOD, NJ\|EAST WINDSOR, NJ\|EAST NORTHPORT, NY\|HOLBROOK, NY\|MASSAPEQUA PARK, NY\|NEWARK, NJ\|NEWARK, NJ\|BAYSHORE, NY\|WEST ORANGE, NJ\|ELIZABETH, NJ\|NEWARK, NJ\|HARRISON, NJ\|ELIZABETH, NJ\|NEWARK, NJ\|VERONA, NJ\|WEST CALDWELL, NJ\|CALDWELL, NJ\|BAYVILLE, NJ\|ST. JAMES, NY\|SMITHTOWN, NY\|EAST ISLIP, NY\|PLAINVIEW, NY\|BETHPAGE, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|ROSELAND, NJ	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
OSAIC ADVISORY SERVICES, LLC	LEO WEALTH MANAGEMENT, LLC	Dec 2, 2025	Nov 7, 2025	-25	Firm change	Ibd to new firm
OSAIC WEALTH, INC.	OSAIC ADVISORY SERVICES, LLC	Oct 11, 2024	Oct 15, 2024	4	Firm change	Ibd to ibd
AMERICAN PORTFOLIOS ADVISORS, INC	OSAIC WEALTH, INC.	Oct 11, 2024	Oct 11, 2024	0	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	AMERICAN PORTFOLIOS ADVISORS, INC	Dec 8, 2022	Nov 17, 2022	-21	Firm change	RIA to ibd
AMERICAN PORTFOLIOS ADVISORS, INC	LPL FINANCIAL LLC	Nov 8, 2022	Nov 8, 2022	0	Firm change	Ibd to RIA
LPL FINANCIAL LLC	AMERICAN PORTFOLIOS ADVISORS, INC	May 6, 2015	May 18, 2015	12	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
23131:171070:AZ:2024-10-11	Oct 11, 2024	Oct 15, 2024	SCOTTSDALE, AZ	Firm change
112697:6413:NY:2022-10-27	Nov 8, 2022	Nov 8, 2022	HOLBROOK, NY	Firm change

Relationships

Registered with (5)

→ LEO WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Nov 7, 2025 to presentfactForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Oct 15, 2024 to Dec 2, 2025factForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserregistration: previous registration
Nov 17, 2022 to Oct 11, 2024factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Oct 11, 2024 to Oct 11, 2024factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 8, 2022 to Dec 8, 2022factForm ADV

Dated events

Occurred
Dec 2, 2025
Advisor changed firm
James C. Leo left Osaic Advisory Services, Llc for Leo Wealth Management, Llc (registered 2025-11-07)
Form ADVobserved 6 days ago
Occurred
Oct 11, 2024
Advisor changed firm
James C. Leo left Osaic Wealth, Inc. for Osaic Advisory Services, Llc (registered 2024-10-15)
Form ADVobserved 6 days ago
Occurred
Dec 8, 2022
Advisor changed firm
James C. Leo left Lpl Financial Llc for American Portfolios Advisors, Inc (registered 2022-11-17)
Form ADVobserved 6 days ago
Occurred
Nov 8, 2022
Advisor changed firm
James C. Leo left American Portfolios Advisors, Inc for Lpl Financial Llc (registered 2022-11-08)
Form ADVobserved 6 days ago