Leslie P. Horwitz

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CRD#: 1591412

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 Paul Horwitz was a registered financial professional .

Leslie is a previously registered financial professional and started their career in finance in 1986. Leslie had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 29, 2020 - September 14, 2021

NAMCOA

RIA

CRD#: 133978

Naples, FL

Past

December 6, 2016 - June 7, 2019

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

FORT MYERS, FL

Past

September 23, 2013 - June 7, 2019

OPPENHEIMER & CO. INC.

CRD#: 249

FORT MYERS, FL

Past

October 31, 2003 - October 16, 2013

ROYAL SECURITIES COMPANY

CRD#: 10702

GRANDVILLE, MI

Past

September 18, 2000 - October 31, 2003

KENT KING SECURITIES CO., INC.

CRD#: 2424

GRAND RAPIDS, MI

Past

May 28, 1991 - September 18, 2000

D H BRUSH & ASSOCIATES, INC.

CRD#: 3667

CHICAGO, IL

Past

November 6, 1989 - March 15, 1990

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

July 1, 1988 - November 16, 1989

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

November 21, 1986 - July 1, 1988

BMMG CAPITAL CORP.

CRD#: 7304

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".

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/5/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/19/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/17/1995

General Securities Principal Examination

Current Firm

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

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Contact information

Main Address

107 Kilson Drive Suite 206, Mooresville, NC 28117

Mailing Address

999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

Phone number

(239) 593-5525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/31/2025)

ADV WRAP BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 312,332,592

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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Advisor Monitoring

Firm Stability Insights

Leslie P. Horwitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

ROYAL SECURITIES COMPANY

KENT KING SECURITIES CO., INC.

D H BRUSH & ASSOCIATES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

BMMG CAPITAL CORP.

Primary Firm SEC Registration

NAMCOA

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2016

Series 63

Date: 12/19/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Series 24

Date: 7/17/1995

Current Firm

NAMCOA

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAMCOA

TRUST BUT VERIFY

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