Leo Breault
About Leo Breault
Leo Breault is the Senior Manager of Internal Investigations at TD Ameritrade, with a career spanning roles in compliance and financial planning at various firms in the Greater St. Louis Area.
Title
Leo Breault holds the position of Senior Manager, Internal Investigations at TD Ameritrade. He has been in this role since 2018, operating within the Greater St. Louis Area.
Company
Leo Breault currently works at TD Ameritrade. As part of his role, he oversees all aspects of internal investigations, conducts interviews with associates, and reports findings to executives and regulatory bodies. He has built strong relationships with departments including Anti Money Laundering, Fraud, and Human Resources, assisting in enhancing related processes.
Previous Experience
Prior to his current role, Leo Breault worked at Scottrade as the AVP, IT & Communications Compliance from 2015 to 2018. He also held several positions at Wells Fargo Advisors, including Vice President, Senior Compliance Officer for six years and Regional Branch Supervisor for one year. Leo’s career includes experience as Lead Advertising and Marketing Principal/Investment Advisory Compliance Officer at U.S. Bancorp Investments, Field Supervision Director at Edward Jones, and Financial Planner at AXA Advisors, LLC and Prudential Financial.
Responsibilities at TD Ameritrade
At TD Ameritrade, Leo Breault is responsible for conducting interviews with associates and overseeing all aspects of internal investigations. He reports investigation findings to appropriate executives and regulatory bodies. Additionally, he has established a central point of contact for associates and business partners to report regulatory, conflict of interest, and ethics issues.