Lesley C. Grimm
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.
Lesley Claudia Grimm, who also goes by Lesley Claudia Murphy, was a registered financial professional .
Lesley is a previously registered financial professional and started their career in finance in 1984. Lesley had worked at 9 firms and has passed the Series 63, SIE, 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
January 2, 2015 - March 15, 2017
CAPITAL ONE INVESTING, LLC
January 3, 2005 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
January 2, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
October 27, 2003 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
August 22, 2001 - January 24, 2002
CITICORP INVESTMENT SERVICES
September 24, 1993 - September 20, 2000
ESSEX NATIONAL SECURITIES, LLC
July 8, 1993 - August 22, 2001
LASALLE FINANCIAL SERVICES, INC.
August 27, 1992 - July 8, 1993
EAB SECURITIES, INC.
August 4, 1987 - November 16, 1987
ALEX. BROWN & SONS INCORPORATED
October 26, 1984 - July 28, 1987
PRUDENTIAL EQUITY GROUP, LLC
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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
