Stephen C. 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.
Stephen Christopher Leslie was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 1999 - October 4, 1999
CRESVALE INTERNATIONAL (US) LLC
May 21, 1997 - July 22, 1997
WALL STREET MARKETS GROUP, INC.
December 13, 1995 - April 4, 1997
WILLIAM & CO. CAPITAL MARKETS LTD.
September 13, 1995 - November 2, 1995
TUCKER ANTHONY INCORPORATED
May 31, 1994 - December 17, 1995
PRYOR, COUNTS & CO., INC.
August 18, 1993 - July 19, 1994
MURIEL SIEBERT & CO., LLC
February 15, 1990 - July 26, 1993
M. R. BEAL & COMPANY
December 8, 1987 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
September 21, 1983 - November 9, 1987
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CRESVALE INTERNATIONAL (US) LLC
CRD#: 44145 / SEC#: , 8-50555
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
