Leo Bazile is a registered investment advisor, based in New York, NY, with 14 years of industry experience. Leo is also registered as a broker, so some compensation may come from commissions on products sold.
Location
New York, NY
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Regulatory History (3)
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Judgment / Lien
July 2026Judgment / Lien
May 2018Judgment / Lien
February 2017Other Business Activities
Leo is the owner and sole proprietor of Baz-Tax Financial Services, providing tax preparation and problem resolution services. This occupies nearly all of Leo's time, with half of that time dedicated to securities trading.
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2025 - Present · 1 yr 1 mo
Cetera Wealth Services, LLCBroker
September 2025 - Present · 1 yr 1 mo
Previous Registrations
Avantax Advisory Services
September 2021 - September 2025 · 4 yrs
Avantax Investment Services, INC.Broker
December 2012 - September 2025 · 12 yrs 9 mos
First Investors CorporationBroker
August 1985 - June 1986 · 10 mos
State Registrations6 states
CTGAMDMINYPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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