Leslie C. Stipek
Professional summary
Leslie Clark Stipek 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 1983. Prior to being barred, Leslie had worked at 7 firms, which includes STIPEK SECURITIES LLC, A. CH. SECURITIES INC., CARDINAL INVESTMENTS INC., TITAN/VALUE EQUITIES GROUP INC., SPELMAN & CO. INC., OLD SLIP CAPITAL MANAGEMENT INC., WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2000 - September 29, 2006
STIPEK SECURITIES, LLC
June 23, 1999 - February 23, 2000
A. CH. SECURITIES, INC.
July 23, 1998 - June 25, 1999
CARDINAL INVESTMENTS, INC.
May 10, 1991 - June 2, 1998
TITAN/VALUE EQUITIES GROUP, INC.
February 4, 1991 - May 14, 1991
SPELMAN & CO., INC.
January 4, 1991 - February 4, 1991
OLD SLIP CAPITAL MANAGEMENT, INC.
October 25, 1983 - November 14, 1990
WADDELL & REED
State Registrations and Notice Filings
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Exams
Series 28
Date: 6/27/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
STIPEK SECURITIES, LLC
CRD#: 100940 / SEC#: , 8-52046
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIPEK, LESLIE CLARK | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 1200931 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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