Leslie Clark Stipek
Professional Summary
Leslie Clark Stipek was a registered financial advisor. Leslie was a previously registered financial professional and started their career in finance 1983 - 2006. Leslie had worked at 7 firms and has passed the Series 63, Series 6, Series 22, Series 28 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
STIPEK SECURITIES | STIPEK, LESLIE CLARK | STIPEK SECURITIES, LLC
Contact Information
Established
California since 10/12/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIPEK, LESLIE CLARK | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 1200931 |
Disclosures
Regulatory Event
5Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1983About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Oct 1983About the Series 22 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2000About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 1999About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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