Leslie G. Fregien
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 Gerald Fregien, who also goes by Les Fregien, was a registered financial advisor .
Leslie is a previously registered financial advisor and started their career in finance in 1987. Leslie had worked at 7 firms and has passed the Series 65, Series 63, Series 22 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
April 11, 2005 - December 31, 2013
AG ASSET MANAGEMENT, LLC
March 1, 2004 - May 4, 2006
PURSHE KAPLAN STERLING INVESTMENTS
July 4, 2001 - March 3, 2004
SII INVESTMENTS, INC.
May 16, 2000 - July 5, 2001
INVEST FINANCIAL CORPORATION
July 15, 1999 - May 31, 2000
CAPITAL FINANCIAL SERVICES, INC.
December 7, 1990 - July 14, 1999
MML INVESTORS SERVICES, LLC
June 9, 1987 - October 31, 1990
THRIVENT INVESTMENT MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AG ASSET MANAGEMENT, LLC
CRD#: 133903 / SEC#:
Contact information
Red Flags
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