Leslie A. Myers
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 A. Myers, who also goes by Leslie A Myers, Leslie Anne Myers, Leslie Myers, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1987. Leslie had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2022 - January 10, 2023
LPL FINANCIAL LLC
May 18, 2022 - January 10, 2023
LPL FINANCIAL LLC
February 11, 2020 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
February 11, 2020 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
May 16, 2013 - September 24, 2019
BBVA SECURITIES INC.
October 15, 2010 - September 24, 2019
PNC MANAGED ACCOUNT SOLUTIONS, INC.
June 18, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
June 17, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 2, 2009 - May 24, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - May 24, 2010
CHASE INVESTMENT SERVICES CORP.
April 30, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
April 30, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
June 7, 2005 - April 2, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
August 29, 2003 - June 3, 2005
WAMU INVESTMENTS, INC.
April 16, 1998 - June 3, 2005
WAMU INVESTMENTS, INC.
June 3, 1996 - April 8, 1998
WELLS FARGO SECURITIES INC.
June 9, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
May 10, 1995 - June 5, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 25, 1993 - May 10, 1995
WELLS FARGO SECURITIES INC.
January 28, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
August 9, 1991 - March 3, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 9, 1991 - March 3, 1993
SIGNATOR INVESTORS, INC.
June 8, 1990 - May 3, 1991
CAPITAL BROKERAGE CORPORATION
August 27, 1987 - August 3, 1988
SENTRA SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
