Leslie W. Allen

FAMILY WMS

Athens, GA 30601

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CRD#: 1350568

Professional summary

Leslie White Allen, who also goes by Leslie W Beach, Leslie White Beach, Leslie White Beach-allen, Leslie White Mallon, is a registered financial advisor currently at FAMILY WMS, LLC located in Athens, Georgia.

Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Leslie has worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie W Beach | Leslie White Beach | Leslie White Beach-Allen | Leslie White Mallon

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.

FAMILY WEALTH MANAGEMENT SERVICES INC.; INVESTMENT RELATED; ATLANTA, GA; INVESTMENT ADVISORY; PRESIDENT; 05/2003; 160 HOURS/MONTH (130 TRADING HOURS/MONTH); SUPERVISION OF OVERALLY BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie White Allen'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

July 10, 2003 - Present

FAMILY WMS, LLC

Office #1: 490 N Milledge Avenue, Athens, GA 30601

RIA

CRD#: 126456

Athens, GA

Past

August 22, 2007 - June 30, 2011

ADVOCACY WEALTH MANAGEMENT, LLC

RIA

CRD#: 141943

ATLANTA, GA

Past

September 15, 2000 - May 9, 2003

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

ATLANTA, GA

Past

July 23, 1997 - February 2, 1999

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

June 19, 1996 - July 2, 1997

GPC SECURITIES, INC.

CRD#: 14007

ATLANTA, GA

Past

January 3, 1995 - April 15, 1996

BANK SOUTH INVESTMENT SERVICES, INC.

CRD#: 36629

Past

June 24, 1993 - September 8, 1994

BANK SOUTH SECURITIES CORPORATION

CRD#: 27268

Past

September 20, 1991 - June 7, 1993

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

October 3, 1989 - July 8, 1991

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

Past

January 11, 1988 - September 19, 1989

NATIONSBANC SECURITIES OF GEORGIA, INC.

CRD#: 315

Past

April 1, 1987 - July 8, 1991

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

April 23, 1985 - March 7, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

FAMILY WMS, LLC

FAMILY WEALTH MANAGEMENT SERVICES INC. | FAMILY WMS, LLC | FAMILY WEALTH MANAGEMENT SERVICES, LLC.

CRD#: 126456 / SEC#: 801-61987

RIA

Registered Investment Advisory firm - (4/18/2003 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

Georgia
(7/10/2003)

IAR

Texas
(4/11/2006)

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: 7/2/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/18/1994

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/11/1990

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/21/1986

General Securities Principal Examination

Current Firm

FAMILY WMS, LLC

FAMILY WEALTH MANAGEMENT SERVICES INC. | FAMILY WMS, LLC | FAMILY WEALTH MANAGEMENT SERVICES, LLC.

CRD#: 126456 / SEC#: 801-61987

RIA

Registered Investment Advisory firm - (4/18/2003 Approved)

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Contact information

Main Address

490 N. Milledge Ave, Athens, GA 30601

Mailing Address

Phone number

(404) 961-1051

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (2/10/2025)

Regulatory assets under management

Total Number of Accounts	570
AUM (Assets Under Management)	$ 581,378,868

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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Leslie W. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie White Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVOCACY WEALTH MANAGEMENT, LLC

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUIST INVESTMENT SERVICES, INC.

GPC SECURITIES, INC.

BANK SOUTH INVESTMENT SERVICES, INC.

BANK SOUTH SECURITIES CORPORATION

CHASE INVESTMENT SERVICES CORP.

FIRST UNION BROKERAGE SERVICES, INC.

NATIONSBANC SECURITIES OF GEORGIA, INC.

FIRST UNION BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

FAMILY WMS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/1993

Series 63

Date: 5/17/1985

Series 7

Date: 4/20/1985

Series 4

Date: 5/18/1994

Series 53

Date: 1/11/1990

Series 24

Date: 3/21/1986

Current Firm

FAMILY WMS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAMILY WMS, LLC

TRUST BUT VERIFY

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