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LB

Leslie A. Brown

Some features on this profile are disabled
CRD#: 1664451
LB

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 Ann Brown, who also goes by Leslie A Biggers, Leslie Ann Biggers, Leslie Ann Waller, was a registered financial professional .

Leslie is a previously registered financial professional and started their career in finance in 1987. Leslie had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leslie A Biggers | Leslie Ann Biggers | Leslie Ann Waller

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.
ADMINISTRATOR FOR MOTHER, INV RELATED, OAKLAND, CA, START: 6/7/2021, 8 HRS/MONTH, 0 HRS DURING TRADING.

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

June 5, 2025 - October 28, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAN FRANCISCO, CA
Past

June 5, 2025 - October 28, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAN FRANCISCO, CA
Past

November 19, 2015 - September 12, 2024

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAN FRANCISCO, CA
Past

November 12, 2015 - September 12, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAN FRANCISCO, CA
Past

September 15, 2011 - January 7, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
DUBLIN, CA
Past

September 15, 2011 - January 7, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
DUBLIN, CA
Past

March 1, 2011 - August 15, 2011

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
EMERYVILLE, CA
Past

February 28, 2011 - August 15, 2011

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
EMERYVILLE, CA
Past

January 7, 2009 - April 9, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WALNUT CREEK, CA
Past

January 6, 2009 - April 9, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WALNUT CREEK, CA
Past

June 12, 2008 - November 4, 2008

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
WALNUT CREEK, CA
Past

June 12, 2008 - November 4, 2008

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
WALNUT CREEK, CA
Past

September 1, 2006 - December 11, 2008

J.P. KING ADVISORS, INC.

RIA
CRD#: 112109
WALNUT CREEK, CA
Past

December 3, 2004 - April 2, 2008

INVESTMENT ARCHITECTS, INC.

BD
CRD#: 17774
WALNUT CREEK, CA
Past

April 20, 2004 - September 24, 2004

WADDELL & REED

RIA
CRD#: 866
FAIRFIELD, CA
Past

April 20, 2004 - September 24, 2004

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

April 14, 2003 - February 19, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WALNUT CREEK, CA
Past

April 14, 2003 - February 19, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 14, 2003 - February 19, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 16, 1996 - December 31, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

February 22, 1995 - May 16, 1995

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

February 22, 1995 - May 16, 1995

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

July 15, 1987 - August 23, 1988

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882

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".
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/18/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/21/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/7/2008
General Securities Principal Examination

Current Firm

WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
19,017

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)
WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)
WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)
WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)
FEE-BASED PLANNING SERVICES (9/2/2025)
WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

Direct owners and executive officers

NamePositionCRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLCSOLE MEMBER
CRONK, DARRELLHEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL2498892
GINDI, SOLPRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL4903526
KARANIK, ERIK ANTHONYBOARD OF MANAGERS2260890
LACEY, PAULPRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL5616656
PATEL, RAKESHCHIEF FINANCIAL OFFICER / BOARD OF MANAGERS5385585
SAUNDERS, DAVID WARDDESIGNATED STATE PRINCIPAL2448617
SOMESHWAR, PRASANNAHEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL7491790
SOMMERS, BARRYCHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS2301454
TSAMADIAS, CHRISTOS GCHIEF COMPLIANCE OFFICER5433568

Regulatory assets under management

Total Number of Accounts1,327,695
AUM (Assets Under Management)$ 606,037,831,365

Disclosures

Regulatory Event182
Civil Event2
Arbitration303

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
Report
12/11/2023
Cover Page
Report
02/17/2023
Cover Page
Report

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.

Company Information

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

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