Leslie B. Jallans
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 Bernard Jallans, who also goes by Leslie Ann Bernard, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1984. Leslie had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2022 - September 20, 2023
SORRENTO PACIFIC FINANCIAL, LLC
October 21, 2022 - September 20, 2023
CUSO FINANCIAL SERVICES, L.P.
September 3, 2014 - September 20, 2023
NEXT FINANCIAL GROUP, INC.
September 3, 2014 - September 20, 2023
NEXT FINANCIAL GROUP, INC.
September 3, 2008 - April 10, 2014
SANDERS MORRIS LLC
September 3, 2008 - April 10, 2014
SANDERS MORRIS LLC
October 1, 2007 - September 4, 2008
STANFORD GROUP COMPANY
October 1, 2007 - September 4, 2008
STANFORD GROUP COMPANY
May 11, 2004 - October 9, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
May 11, 2004 - October 9, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
January 8, 2004 - May 4, 2004
HINES PRIVATE WEALTH SOLUTIONS LLC
August 8, 2003 - November 3, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
August 8, 2003 - November 3, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
December 1, 1987 - November 19, 1997
AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.
November 18, 1985 - December 31, 1994
AMERICAN CAPITAL MARKETING, INC.
November 18, 1985 - June 7, 2003
ADVANTAGE CAPITAL CORPORATION
September 25, 1984 - April 8, 1985
BRENNER STEED, INC.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
