Leslie R. Cole
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.
Leslie Renee Cole, who also goes by Leslie R Cole, Leslie R Jeter, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1991. Leslie had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2017 - April 9, 2018
CHARTWELL TSC SECURITIES CORP.
January 4, 2010 - July 2, 2015
INVESCO ADVISERS, INC.
December 7, 2007 - July 2, 2015
INVESCO DISTRIBUTORS, INC.
August 31, 2007 - January 4, 2010
INVESCO AIM ADVISORS, INC.
August 31, 2007 - December 7, 2007
FUND MANAGEMENT COMPANY
March 28, 2006 - August 31, 2007
AIM PRIVATE ASSET MANAGEMENT
April 5, 2001 - August 31, 2007
INVESCO DISTRIBUTORS, INC.
February 15, 1999 - April 4, 2001
BNY MELLON SECURITIES CORPORATION
November 7, 1997 - February 1, 1999
INVESCO DISTRIBUTORS, INC.
November 4, 1991 - November 27, 1992
AMERICAN CENTURY INVESTMENT SERVICES 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
Current Firm
CHARTWELL TSC SECURITIES CORP.
CRD#: 172196 / SEC#: , 8-69502
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VILLATORO DE FRIEDMAN, KARLA XIOMARA | CHIEF COMPLIANCE OFFICER | 4097005 |
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.
