Leslie M. Spencer
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 Michelle Spencer was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1988. Leslie had worked at 10 firms and has passed the Series 63, SIE 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
May 24, 2010 - January 5, 2024
PFM FUND DISTRIBUTORS, INC.
January 3, 2005 - November 12, 2009
FORESIDE FUND SERVICES, LLC
May 24, 2004 - December 31, 2004
MOMENTUM INDEPENDENT NETWORK INC.
April 12, 1993 - April 29, 2004
SAMUEL A. RAMIREZ & COMPANY, INC.
March 10, 1992 - March 29, 1993
MARKETING ONE SECURITIES, INC.
August 6, 1990 - February 28, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 27, 1989 - August 3, 1990
MORGAN STANLEY DW INC.
December 21, 1988 - June 19, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 1988 - October 17, 1988
IDS LIFE INSURANCE COMPANY
September 20, 1988 - October 17, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
PFM FUND DISTRIBUTORS, INC.
CRD#: 114474 / SEC#: , 8-53496
Contact information
Documents
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.
