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Frederick Leonard

Janney Montgomery Scott LLC
45 Years of Experience
Mystic, CT
1 DisclosureBroker
View SEC Summary
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Frederick Leonard is a registered investment advisor at Janney Montgomery Scott LLC, based in Mystic, CT, with 45 years of industry experience. Frederick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1340 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

60 Willow Street, Suite 101, Mystic, CT, 06355

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2008
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Frederick is the President of the Board for the Slopeside Village Condominium Association, a role he has held since 2019. He spends minimal time conducting meetings for this investment-related activity.

Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
March 2019 - Present · 7 yrs 7 mos
Janney Montgomery Scott LLC
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2008 - March 2019 · 11 yrs 2 mos
Wells Fargo Clearing Services, LLC
January 2008 - March 2019 · 11 yrs 2 mos
A. G. Edwards & Sons, INC.
April 1997 - January 2008 · 10 yrs 9 mos
A. G. Edwards & Sons, INC.Broker
June 1989 - January 2008 · 18 yrs 7 mos
Shearson Lehman Hutton INC.Broker
June 1984 - July 1989 · 5 yrs 1 mo
Advest, INC.Broker
December 1981 - June 1984 · 2 yrs 6 mos
F. L. Putnam & Company, INC.Broker
March 1981 - December 1981 · 9 mos
State Registrations28 states
AKAZCACOCTDCFLGAILMAMDMIMONCNHNJNVNYOKPARISCTNTXUTVAVTWA
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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Frederick Leonard - Financial Advisor | TrueAdvisor