Leslie J. Straus

BENEVEST & ASSOCIATES

BROOKFIELD, WI 53045

CRD#: 2150721

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Professional summary

Leslie Jean Straus, who also goes by Leslie J Schwab, is a registered financial advisor currently at BENEVEST & ASSOCIATES, INC. located in Brookfield, Wisconsin.

Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Leslie has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie J Schwab

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Jean Straus's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 5, 2019 - Present

BENEVEST & ASSOCIATES, INC.

Office #1: 250 N Patrick Blvd, Ste100, Brookfield, WI 53045

RIA

CRD#: 299170

BROOKFIELD, WI

Past

April 20, 1993 - June 10, 1994

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

Past

August 6, 1991 - August 12, 1991

FREDERICK & COMPANY, INC.

CRD#: 333

Past

June 17, 1991 - April 14, 1993

PRINCIPAL SECURITIES, INC.

CRD#: 1137

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(6/5/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/20/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/13/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BENEVEST & ASSOCIATES, INC.

CRD#: 299170 / SEC#:

Wisconsin

Registered Investment Advisory firm - (6/5/2019 Approved)

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Contact information

Main Address

250 N Patrick Blvd, Ste100, Brookfield, WI 53045

Mailing Address

Phone number

(262) 207-1999

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Leslie J. Straus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Jean Straus's CRS (Customer Relationship Summary).

Certified licenses

Experience

BENEVEST & ASSOCIATES, INC.

OGILVIE SECURITY ADVISORS CORPORATION

FREDERICK & COMPANY, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2018

Series 63

Date: 6/13/1991

Series 6

Date: 6/13/1991

Current Firm

BENEVEST & ASSOCIATES, INC.

Contact information

Documents

Red Flags

Company Information

BENEVEST & ASSOCIATES, INC.

TRUST BUT VERIFY

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