Joseph Leo has been Chief Executive Officer & Managing Member of Quartz Partners since April 2023, is a control person of the firm and directly owns under 5% of it.
Quartz Partners, LLC is a Saratoga Springs, NY firm with $612M under management, 772 clients and 22 advisers across 13 offices, as of its June 2026 filing.
Joseph Leo’s longest registration is the current one, 3 years at Quartz Partners since 2023. Before joining Quartz Partners in 2023, Joseph Leo was registered through Etico Wealth Management LLC.
- – present · 3 yearsUtica, NY · Adviser representative · Firm CRD 174327
- Etico Wealth Management LLC– · 2 yearsUtica, NY · Adviser representative · Firm CRD 151046
Investment adviser representative registrations
Joseph Leo is registered as an investment adviser representative in New York, since May 2023.
- New YorkSince 1 May 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 29 June 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 July 2005 |
| Series 7 | General Securities Representative Examination | 6 July 2005 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Albert Leo
- CRD
- 4988004
- Firm
- Quartz Partners · CRD 174327
- Role
- Chief Executive Officer & Managing Member
- Office
- 258 GENESEE ST SUITE #506, Utica, NY 13502
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2005
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Joseph Leo work?
Joseph Leo has been Chief Executive Officer & Managing Member of Quartz Partners, LLC since April 2023, and is a control person of the firm.
Is Joseph Leo a financial advisor?
Yes. Joseph Leo has a current investment-adviser registration in New York, through Quartz Partners since May 2023.
How many years of experience does Joseph Leo have?
Joseph Leo has 21 years in the financial industry, since July 2005, across 2 adviser firms.
What exams has Joseph Leo passed?
Joseph Leo has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 99TO. The earliest, the Series 7, was passed in July 2005. FINRA credited Joseph Leo with the SIE, which began in October 2018.
Where is Joseph Leo based?
Joseph Leo’s registered office is in Utica, NY.
Is Joseph Leo registered with FINRA?
Yes. Joseph Leo has a current broker registration, under CRD 4988004.
Source: FINRA BrokerCheck
How can I verify Joseph Leo’s record?
Search CRD 4988004 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Leo’s full registration record.
