Leslie R. Koonce
Professional summary
Leslie Rhodes Koonce was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leslie is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Leslie had worked at 8 firms, which includes EK RILEY INVESTMENTS LLC, CETERA WEALTH SERVICES LLC, NORTHWEST ASSET MANAGEMENT, LPL FINANCIAL LLC, ASSOCIATED PLANNERS INVESTMENT ADVISORY INC, ASSOCIATED SECURITIES CORP., MAIN STREET MANAGEMENT COMPANY, HORNOR TOWNSEND & KENT LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2015 - November 30, 2017
EK RILEY INVESTMENTS, LLC
December 9, 2015 - December 11, 2015
CETERA WEALTH SERVICES, LLC
December 9, 2015 - November 30, 2017
EK RILEY INVESTMENTS, LLC
November 27, 2015 - December 7, 2015
NORTHWEST ASSET MANAGEMENT
September 25, 2009 - December 3, 2015
LPL FINANCIAL LLC
September 8, 2009 - December 3, 2015
LPL FINANCIAL LLC
September 8, 2006 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
May 26, 2004 - September 8, 2009
ASSOCIATED SECURITIES CORP.
December 3, 1999 - May 26, 2004
MAIN STREET MANAGEMENT COMPANY
May 25, 1984 - September 22, 1998
HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EK RILEY INVESTMENTS, LLC
CRD#: 121003 / SEC#: 801-78547, 8-65369
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EK RILEY & CO., INC. | MEMBER | |
| LOUCH, AARON DAVID | CCO / CHIEF FINANCIAL OFFICER | 2662983 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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