Florida Files Regulatory Action Against Brendan Leavey 

Brendan Leavey (CRD #: 730149), a broker registered with Osaic Wealth, was the subject of a state regulatory action, according to his BrokerCheck record, accessed on August 16, 2025. If you have questions about his alleged conduct as a broker, read on.

Florida Regulatory Action

On July 14, 2025, the Florida Office of Financial Regulation ordered Brendan Leavey to cease and desist, alleging that Brendan Leavey violated Section 517.12(4) of the Florida Statutes by rendering investment advice without being registered with the Office.

The Office also fined Brendan Leavey $10,000.

Florida Statutes

Section 517.12(3) of the Florida Statutes prohibits investment advisers and their representatives from conducting business in the state without filing a notice with the Office of Financial Regulation.

Section 517.12(4) similarly prohibits investment advisers from conducting business from a branch office without notice-filing with the Office.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Brendan Leavey has passed the following exams:

• Securities Industry Essentials Examination – SIE
• National Commodity Futures Examination – Series 3
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Brendan Leavey is a registered broker in 19 states and a registered investment adviser in six states.

He has also worked for the following firms:

• American Portfolios Advisors (CRD#:112697)
• American Portfolios Financial Services (CRD#:18487)
• Janney Montgomery Scott (CRD#:463)
• UBS PaineWebber (CRD#:8174)
• Prudential Securities (CRD#:7471)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• Smith Barney, Harris Upham & Company (CRD#:7059)
• Dillon, Read & Company (CRD#:1650)
• Goldman, Sachs & Company (CRD#:361) 

Kurta Law Can Help

If you worked with Brendan Leavey and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.