Leslie A. Smith

CORONADO FINANCIAL GROUP L.L.C.

SAN MATEO, CA

Some features on this profile are disabled

CRD#: 1242367

Professional summary

Leslie A Smith, who also goes by Leslie Ann Smith, is a registered financial advisor currently at CORONADO FINANCIAL GROUP L.L.C. located in San Mateo, California and OSAIC WEALTH, INC. located in San Mateo, California.

Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Leslie has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie Ann Smith

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.

1. CORONADO FINANCIAL GROUP POSITION: Managing Member/Owner NATURE: Single Member LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 75 START DATE: 06/04/2004 ADDRESS: 894 Wharfside Rd, San Mateo CA 94404, United States DESCRIPTION: Financial Planning and Investment Advisor Representative for Independent RIA utilizing the Osaic WMP platform 2. LESLIE A. SMITH POSITION: Other - Agent. NATURE: The income from this activity is paid to me as an agent. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 08/21/1989 ADDRESS: 894 Wharfside Rd, San Mateo CA 94404, United States DESCRIPTION: Provide annuities, life and disability insurance to clients, as agent. 3. CONSULTANT POSITION: Consultant NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 09/22/2023 ADDRESS: 894 Wharfside Rd, San Mateo Ca 94404 CA 94404, United States DESCRIPTION: Will provide general teaching, advice, consultation, and relevant information to the Board of Directors and Supervisory Committee to assist them in fulfilling their respective duties. These efforts are generally to assist with the understanding, reading, relevance of financial reports provided to the Board and Committee members.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie A Smith's CRS (Customer Relationship Summary).

CRD#: 20068

PHOENIX, AZ

Past

July 16, 1992 - October 15, 1998

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

July 12, 1989 - June 20, 1991

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 7, 1988 - July 5, 1989

INTEGRATED RESOURCES INVESTMENT CENTERS, INC.

CRD#: 14338

NEW YORK, NY

Past

February 21, 1985 - April 8, 1988

WEDBUSH SECURITIES INC.

CRD#: 877

Past

March 19, 1984 - April 18, 1984

HUNTINGTON INVESTMENTS, INC.

CRD#: 13897

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/1/2023)

IAR

California
(2/17/2005)

California
(9/1/2023)

Florida
(9/1/2023)

Nevada
(9/1/2023)

New York
(9/1/2023)

Oregon
(9/1/2023)

Tennessee
(9/1/2023)

Washington
(9/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 6/13/1988

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CORONADO FINANCIAL GROUP L.L.C.

CORONADO FINANCIAL GROUP L.L.C. | CORONADO FINANCIAL GROUP, LLC. | CORONADO FINANCIAL GROUP, LLC

CRD#: 132727 / SEC#:

California

Registered Investment Advisory firm - (2/17/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

San Mateo, CA

Mailing Address

Phone number

(650) 571-8132

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 18,325,000

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Leslie A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie A Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

BA INVESTMENT SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

INTEGRATED RESOURCES INVESTMENT CENTERS, INC.

WEDBUSH SECURITIES INC.

HUNTINGTON INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/1999

Series 63

Date: 3/16/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Series 24

Date: 1/9/2001

Series 26

Date: 6/13/1988

FINRA

Current Firm

CORONADO FINANCIAL GROUP L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CORONADO FINANCIAL GROUP L.L.C.

TRUST BUT VERIFY

Contact information

Similar Advisors