Leslie B. Levi
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 Bert Levi, who also goes by Les Bert Levi, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1991. Leslie had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
January 14, 2014 - November 2, 2017
GORDIAN GROUP, LLC
July 5, 2011 - January 7, 2014
NORTH SEA SECURITIES L.P.
October 30, 2009 - August 20, 2010
KNIGHT LIBERTAS LLC
June 5, 1997 - October 25, 2002
J.P. MORGAN SECURITIES INC.
May 2, 1991 - June 6, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
GORDIAN GROUP, LLC
CRD#: 24034 / SEC#: , 8-40861
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GORDIAN ACQUISITION CORP. | MEMBER | |
| BACH, KRISTINA | FINOP | 4281682 |
| CALDWELL, PATRICIA ANN | SENIOR MANAGING DIRECTOR/FOUNDING PARTNER | 1923585 |
| HERMAN, DAVID LAWRENCE | PRESIDENT | 4262300 |
| KAUFMAN, PETER SANGER | MANAGING PARTNER/INVESTMENT BANKING PRINCIPAL | 1530462 |
| OWSLEY, HENRY FURLOW III | FOUNDING PARTNER/SENIOR MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER/INVESTMENT BANKING PRINCIPAL | 1051167 |
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.
