William D. Leslie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Douglass Leslie was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 7 firms and has passed the Series 63, Series 5, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2003 - June 15, 2023
AEGIS CAPITAL MANAGEMENT, LLC
July 1, 2002 - January 25, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 16, 1996 - August 8, 2002
SPELMAN & CO., INC.
November 7, 1990 - July 11, 2002
SENTRA SECURITIES CORPORATION
September 19, 1984 - March 28, 1990
CITIGROUP GLOBAL MARKETS INC.
September 9, 1983 - October 26, 1984
UBS FINANCIAL SERVICES INC.
August 8, 1983 - September 8, 1983
ROTAN MOSLE INC.
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
Series 5
Date: 6/27/1988
Interest Rate Options ExaminationSeries 8
Date: 9/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AEGIS CAPITAL MANAGEMENT, LLC
CRD#: 115196 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 95 |
| AUM (Assets Under Management) | $ 18,637,795 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
