Leslie F. Lopata
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.
Leslie Faden Lopata, who also goes by Leslie Sheryl Faden, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1984. Leslie had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 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
August 21, 2017 - December 31, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - December 31, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
April 7, 2016 - August 21, 2017
FINANCIAL WEST GROUP
January 16, 2008 - August 21, 2017
FINANCIAL WEST GROUP
November 21, 2002 - January 16, 2008
THE SHEMANO GROUP, INC.
February 11, 2002 - November 22, 2002
FIRST ALLIED SECURITIES, INC.
August 21, 1984 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
