Henry S. 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.
Henry Stephen Leslie, who also goes by H Stephen Leslie, Henry S Leslie, Steve Leslie, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1983. Henry had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2013 - December 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 24, 2013 - December 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 5, 2012 - August 8, 2013
COMMONWEALTH FINANCIAL NETWORK
January 22, 2007 - August 30, 2011
GROVE POINT INVESTMENTS, LLC
January 19, 2007 - August 30, 2011
GROVE POINT INVESTMENTS, LLC
April 6, 2004 - December 31, 2006
SECURIAN FINANCIAL SERVICES, INC.
April 20, 1989 - December 31, 2006
SECURIAN FINANCIAL SERVICES, INC.
August 20, 1986 - January 1, 1988
VESTAX SECURITIES CORPORATION
June 19, 1983 - September 23, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 62
Date: 9/20/2007
Corporate Securities Limited Representative ExaminationSeries 2
Date: 3/15/1982
Non-Member General Securities ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
