Leanne K. Sindell

L & S ADVISORS,

NAPA, CA

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CRD#: 1252489

Professional summary

Leanne Kallstrom Sindell, who also goes by Leanne Denise Kallstrom, Leanne Sindell, is a registered financial advisor currently at L & S ADVISORS, INC located in Napa, California.

Leanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Leanne has worked at 10 firms and has passed the Series 65, Series 63, Series 22, Series 3, Series 31, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leanne Denise Kallstrom | Leanne Sindell

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.

THOUGHT LEADERS INTL. / INTELECTUAL PROPERTY MANAGEMENT. OWNER. NON INVESTMENT RELATED. LOCATION: MILL VALLEY, CA. STARTED ON JAN, 2007. LESS THAN 1 HOUR PER MONTH DEVOTED TO THE BUSINESS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leanne Kallstrom Sindell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 14, 2012 - Present

L & S ADVISORS, INC

RIA

CRD#: 140923

NAPA, CA

Past

August 19, 2011 - July 24, 2012

C.K. COOPER & COMPANY, INC.

CRD#: 106578

IRVINE, CA

Past

January 23, 2004 - June 30, 2005

INLAND SECURITIES CORPORATION

CRD#: 15807

OAK BROOK, IL

Past

June 11, 2002 - April 7, 2003

STEBEN & COMPANY, LLC

CRD#: 117808

EXCELSIOR, MN

Past

August 4, 1997 - June 18, 2002

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

May 6, 1996 - July 23, 1997

CRONOS SECURITIES CORP

CRD#: 8556

SAN FRANCISCO, CA

Past

September 1, 1994 - October 11, 1994

ATEL SECURITIES CORPORATION

CRD#: 17229

SAN FRANCISCO, CA

Past

May 10, 1989 - September 23, 1992

ATEL SECURITIES CORPORATION

CRD#: 17229

SAN FRANCISCO, CA

Past

October 28, 1988 - March 20, 1989

CIS INVESTMENT CORPORATION

CRD#: 16503

Past

July 24, 1987 - September 19, 1988

TECHNOLOGY FUNDING SECURITIES CORPORATION

CRD#: 15074

Past

May 17, 1984 - June 24, 1987

WEDBUSH SECURITIES INC.

CRD#: 877

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

L & S ADVISORS, INC

CRD#: 140923 / SEC#: 801-66849

RIA

Registered Investment Advisory firm - (6/5/2006 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(8/14/2012)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/13/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 8/18/2011

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 3

Date: 1/12/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 8/22/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 9/22/1997

NFA Branch Manager Examination

Current Firm

L & S ADVISORS, INC

CRD#: 140923 / SEC#: 801-66849

RIA

Registered Investment Advisory firm - (6/5/2006 Approved)

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Contact information

Main Address

11766 Wilshire Blvd Suite 845, Los Angeles, CA 90025

Mailing Address

Phone number

(310) 893-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

L & S ADVISORS FORM ADV PART 2A & 2B (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,691
AUM (Assets Under Management)	$ 1,052,549,765

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.

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Advisor Monitoring

Firm Stability Insights

Leanne K. Sindell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leanne Kallstrom Sindell's CRS (Customer Relationship Summary).

Certified licenses

Experience

C.K. COOPER & COMPANY, INC.

INLAND SECURITIES CORPORATION

STEBEN & COMPANY, LLC

GROVE POINT INVESTMENTS, LLC

CRONOS SECURITIES CORP

ATEL SECURITIES CORPORATION

ATEL SECURITIES CORPORATION

CIS INVESTMENT CORPORATION

TECHNOLOGY FUNDING SECURITIES CORPORATION

WEDBUSH SECURITIES INC.

Primary Firm SEC Registration

L & S ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/2012

Series 63

Date: 8/4/2011

Series 22

Date: 8/18/2011

Series 3

Date: 1/12/1998

Series 31

Date: 8/22/1997

Series 7

Date: 4/14/1984

Series 30

Date: 9/22/1997

Current Firm

L & S ADVISORS, INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

L & S ADVISORS, INC

TRUST BUT VERIFY

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