LH
Leigh S. Harter
KESTRA ADVISORY SERVICES
NORTHBROOK, IL
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CRD#: 1461453
LH
Professional summary
Leigh Sandra Harter, CFP®, who also goes by Leigh Henschel, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Northbrook, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Chicago, Illinois.
Leigh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Leigh has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leigh Henschel
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.
Business Name: SBSI, Inc. Investment Related: Yes Address: 500 W. Monroe, Suite 2700 Chicago IL 60661 Nature of Business: Insurance Position, Title or Relationship: Sr. Vice President, Producer Start Date: 3/1/2014 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Interfacing with advisors and clients with the object of helping them with their insurance needsBusiness Name: Kestra Financial Advisory Services Investment Related: Yes Address: 5707 Southwest Parkway Blvd Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing Director Start Date: 10/6/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Meet with advisors and clients in regard to their insurance needs.Business Name: STEP Chicago Investment Related: No Address: C/O Katarinna McBride/Harrison & Held, 333 W. Wacker Drive, Suite 1700 Chicago IL 60606 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Treasurer Start Date: 10/6/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Keep track of the financial activities of the branch and file our annual return with STEP
CRS (Client Relationship Summary) - RIA
Click below to view Leigh Sandra Harter's 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®
Experience
Current
April 22, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 500 West Madison Street Suite 1000, Chicago, IL 60661RIA
CRD#: 283330
NORTHBROOK, IL
Current
July 18, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 500 West Madison Street Suite 3200, Chicago, IL 60661BD
CRD#: 42046
Chicago, IL
Past
February 18, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
November 5, 2012 - December 31, 2014
PINNACLE PENSION CONSULTANTS LLC
RIA
CRD#: 133442
CHICAGO, IL
Past
September 25, 2012 - March 17, 2014
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
Past
November 13, 2009 - June 13, 2012
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
DEERFIELD, IL
Past
July 23, 2009 - June 13, 2012
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
DEERFIELD, IL
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Illinois(4/22/2016)
RR
Illinois(9/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
