Leslie M. Merritt
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 Maria Merritt, who also goes by Leslie M Merritt, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1987. Leslie had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2017 - April 2, 2020
MORGAN STANLEY & CO. LLC
March 8, 2013 - December 22, 2017
MORGAN STANLEY
March 8, 2013 - December 22, 2017
MORGAN STANLEY
August 17, 2004 - March 19, 2013
UBS FINANCIAL SERVICES INC.
August 25, 1998 - March 19, 2013
UBS FINANCIAL SERVICES INC.
December 11, 1997 - May 4, 1998
WALDRON & CO., INC.
October 10, 1996 - March 26, 1997
PACIFIC CORNERSTONE FINANCIAL INCORPORATED
April 7, 1992 - October 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 1, 1992 - March 13, 1992
LEHMAN BROTHERS INC.
August 24, 1987 - September 21, 1990
LEHMAN BROTHERS INC.
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
Series 7TO
Date: 2/5/2024
General Securities Representative ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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