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Dwight Leeper

Other Names: Robert Leeper
Firm:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
DBA:

Merrill Lynch
Type: Dual Registration
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Description

Dwight Leeper is a representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Merrill Lynch, Pierce, Fenner & Smith Incorporated primarily manages accounts for individuals and high net worth individuals and has more than $40MM in assets under management. This advisor is dually registered with FINRA and the SEC. ...(see more)

BrightScope Advisor Metrics

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Answers and Guides

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Level 6 Level 6 Contributor 0 Answers and 1 Financial Guide

Top Answers

Dwight Leeper has not answered any questions on Financial Q&A.

Top Guides

A New Look at Life Insurance

Published Jan 04, 2012
4 votes
The potential for attractive returns can make life insurance a powerful (even surprising) way to protect your legacy and strengthen your portfolio. Life insurance has a bit of an image problem. Many people put off ...(more)
*Answers and guides are provided without compensation.

Advisor Information

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Advisor Assets Under Management

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$40.8M
Total Assets
75
Clients
$543.7K
Estimated Average Account Balance Per Client
*An individual AUM and number of accounts has been entered by the advisor and has not been verified.

Advisor Client Types

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ownership pie chart
High Net Worth Individuals 50%
Individuals 30%
Pension and Profit Sharing Plans 10%
Charitable Organizations 10%

*The Client Types data displayed has been entered by the advisor and has not been verified.

Experience and Employment History

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Employer Years Dates
Merrill Lynch, Pierce, Fenner and Smith Inc. 11 years, 9 months Sep 2001 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/24/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

1 Customer Dispute
As of Date
08/24/2011
10/21/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Futures Managed Funds Examination Series 31 02/17/2006
Uniform Combined State Law Examination Series 66 12/20/2001
General Securities Representative Examination Series 7 11/20/2001

Advisor Compensation Arrangements

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Types of Compensation Arrangements

Compensation Arrangement Chart