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Leonard Finley

Vice President at Sage Advisory Services

Investment adviser registrationAustin, TXSEC record checked 17 October 2026

22
Years in the industry
16
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Leonard Finley is Vice President of Sage Advisory Services LTD Co, a Austin investment adviser managing $28.4B. Leonard Finley has been registered through Sage Advisory Services since 10 September 2010, has 22 years in the industry across 2 firms and has passed the Series 7, Series 66 and Series 63.

Role at Sage Advisory Services

Title on Schedule A
Vice President
Control
Leonard Finley is not a control person of Sage Advisory Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Leonard Finley has held the filed role since August 2021.

The firm

Sage Advisory Services LTD Co
Austin, TX

Form ADV filed 30 March 2026

$28.4B AUM14,363 clients37 advisers1 offices

Career on record

Leonard Finley has been registered through Sage Advisory Services since September 2010, and before that through Consulting Services Group, LLC.

Firms and exams, newest first
  1. Sage Advisory Services Ltd CoCurrent
    – present · 16 years
    Austin, TX · Adviser representative · Firm CRD 106236
  2. Passed Series 63 · 2009
  3. Passed Series 66 · 2006
  4. Consulting Services Group, LLC
    – · 6 years
    Memphis, TN · Adviser representative · Firm CRD 107048
  5. Passed Series 7 · 2001

Registrations and exams

Leonard Finley has a current investment-adviser registration in Texas and has passed 3 qualifying exams.

Texas10 September 2010
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6330 January 2009
Name
Uniform Securities Agent State Law Examination
Series 6627 March 2006
Name
Uniform Combined State Law Examination
Series 79 November 2001
Name
General Securities Representative Examination

Individual record

Full name
Leonard Dustin Finley
CRD
4377292
Firm
Sage Advisory Services LTD Co
Registration status
Investment adviser registration
Office
5900 SOUTHWEST PARKWAY, BUILDING 1, SUITE 100, Austin, TX 78735-6202

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Leonard Finley work?

Leonard Finley has been Vice President of Sage Advisory Services LTD Co since August 2021.

Source: Form ADV, Schedule A, filed 30 March 2026

Is Leonard Finley a financial advisor?

Yes. Leonard Finley has a current investment-adviser registration in Texas, through Sage Advisory Services since September 2010, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Leonard Finley have?

Leonard Finley has worked in the financial industry for 22 years as of 17 October 2026, counted from 31 July 2004, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Leonard Finley passed?

Leonard Finley has passed 3 licensing exams: the Series 7, Series 66 and Series 63. The earliest, the Series 7, was passed in November 2001.

Source: IAPD individual record, checked 17 October 2026

Where did Leonard Finley work before Sage Advisory Services?

Before Sage Advisory Services, Leonard Finley was registered through Consulting Services Group, LLC, July 2004 to August 2010.

Source: IAPD individual record, checked 17 October 2026

Where is Leonard Finley based?

Leonard Finley’s registered office is in Austin, TX.

Source: IAPD individual record, checked 17 October 2026

Leadership at Sage Advisory Services

Sources

  1. IAPD individual record, CRD 4377292. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Sage Advisory Services LTD Co, filed 30 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Leonard Finley or Sage Advisory Services LTD Co and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.