Andrea M. Leslie
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.
Andrea Michelle Leslie, who also goes by Andrea M Harris, Andrea M Leslie, Andrea Michelle Leslie, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1998. Andrea had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2022 - December 20, 2024
CARY STREET PARTNERS
August 29, 2016 - August 5, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 23, 2014 - August 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2013 - November 18, 2016
FIRST CLEARING, LLC
November 9, 2011 - December 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2003 - November 8, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 24, 2001 - March 5, 2003
FIRST CLEARING, LLC
December 4, 1998 - January 30, 2001
DAVENPORT & COMPANY LLC
August 14, 1998 - November 23, 1998
PRUDENTIAL EQUITY GROUP, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CARY STREET PARTNERS
CRD#: 128089 / SEC#: , 8-66085
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARY STREET PARTNERS FINANCIAL LLC | SOLE MEMBER OF BROKER-DEALER | |
| BAYNE, WALTER DONALD | PRESIDENT OF BROKER-DEALER AND MANAGING DIRECTOR OF CSPF | 4427332 |
| GALLUP, WESLEY HAMILTON | CHIEF OPERATING OFFICER OF CSPF | 5037007 |
| HAYES, JAIMAL CHARAN | CHIEF COMPLIANCE OFFICER OF BROKER-DEALER | 4259937 |
| MITCHELL, KEVIN LEE | HEAD OF ACCOUNTING - CONTROLLER AND FINANCIAL OPERATIONS PRINCIPAL OF BROKER-DEALER | 3085157 |
| RUBIN, MATTHEW LAWRENCE | CHIEF INVESTMENT OFFICER OF CSPF | 3057508 |
| SCHMUCKLER, JOSEPH REDMOND | CHIEF EXECUTIVE OFFICER OF CSPF | 1156472 |
| TULLIDGE, THOMAS HOGSHEAD JR | SECRETARY/TREASURER OF BROKER-DEALER AND CHIEF STRATEGY OFFICER, LEGAL AND FINANCE OF CSPF | 2858022 |
Red Flags
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