Lesley Winston
Professional Summary
Lesley Winston, who also goes by Les Winston, is a registered financial advisor currently at E. A. HORWITZ LLC located in North Miami, Florida and LASALLE ST SECURITIES, L.L.C. located in Aventura, Florida. Lesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Lesley has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Les Winston
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES
Contact Information
Main Address
1650 Lake Cook Rd. Suite 190, Deerfield, IL 60015Phone Number
(224) 632-4600# of Employees
13SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
369AUM (Assets Under Management)
$272,647,037Similar Advisors
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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.
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Primary Firm SEC Registration
E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES
State Registrations and Notice Filings
(6/3/2013)
(8/7/2023)
(7/19/2023)
(8/7/2023)
(8/7/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1994About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lesley Winston's CRS (Customer Relationship Summary).
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