Leslie C. Magruder
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 Charles Magruder, who also goes by Charles Leslie Magruder, was a registered financial advisor .
Leslie is a previously registered financial advisor and started their career in finance in 1990. Leslie had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2010 - June 22, 2011
ALAMO CAPITAL
April 19, 2010 - June 22, 2011
ALAMO CAPITAL
August 10, 2009 - April 13, 2010
CHICAGO INVESTMENT GROUP ADVISORS, LLC
August 7, 2009 - April 13, 2010
CHICAGO INVESTMENT GROUP, LLC
February 12, 2007 - August 12, 2009
TD AMERITRADE, INC.
February 12, 2007 - August 12, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 20, 2006 - August 12, 2009
TD AMERITRADE, INC.
November 17, 2004 - December 19, 2006
INTEGRATED TRADING AND INVESTMENTS, INC.
September 11, 1997 - November 22, 2002
MORGAN STANLEY DW INC.
April 29, 1992 - July 25, 1997
AMERIPRISE ADVISOR SERVICES, INC.
January 24, 1992 - April 10, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
March 19, 1991 - May 17, 1991
FSI FINANCIAL CORPORATION
October 17, 1990 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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 8
Date: 9/12/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
