AdFi
JA

Joseph Albert Leo

Investment Adviser Representative at QUARTZ PARTNERS INVESTMENT MANAGEMENT

Utica, NYCRD #4988004Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
21 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 21 states
AlabamaCaliforniaColoradoConnecticutFloridaGeorgiaIndianaKansasMaineMississippiNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOklahomaPennsylvaniaSouth CarolinaTexasVermontVirginia
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 7/12/2005
Series 24
General Securities Principal Examination
Passed 6/29/2017
Series 99TO
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/6/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Active Strategies - $0 to $499,999.990.75%
Active Strategies - $500,000 to $2,999,999.990.60%
Active Strategies - $3,000,000 and above0.50%
Passive Strategies - $0 to $499,999.990.48%
Passive Strategies - $500,000 to $2,999,999.990.40%
Passive Strategies - $3,000,000 and above0.35%
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

QUARTZ PARTNERS INVESTMENT MANAGEMENT Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ETICO PARTNERS, LLCCurrent
1/29/2018 – UTICA, NY
MCGINN, SMITH & CO., INC.
7/7/2005 – 12/31/2009NEW YORK, NY
DINOSAUR FINANCIAL GROUP, L.L.C
1/4/2010 – 1/8/2018NEW YORK, NY
BENCHMARK INVESTMENTS, INC.
1/23/2020 – 5/5/2020NEW YORK, NY

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph Albert Leo has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.