Yvette B. 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.
Yvette Bascomb Leslie, who also goes by Yvette Bascomb, Yvette Rhodes, was a registered financial professional .
Yvette is a previously registered financial professional and started their career in finance in 1993. Yvette had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 9, Series 10 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
July 19, 2010 - February 24, 2017
CUNA BROKERAGE SERVICES, INC.
July 19, 2010 - February 24, 2017
CUNA BROKERAGE SERVICES, INC.
July 6, 2007 - April 27, 2009
1ST GLOBAL ADVISORS INC
June 14, 2006 - April 27, 2009
1ST GLOBAL CAPITAL CORP.
June 25, 2002 - May 22, 2006
IDS LIFE INSURANCE COMPANY
June 25, 2002 - May 22, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 8, 2000 - June 18, 2002
SECURITIES AMERICA ADVISORS, INC.
December 17, 1999 - June 13, 2002
SECURITIES AMERICA, INC.
November 30, 1995 - December 21, 1999
STIFEL INDEPENDENT ADVISORS, LLC
February 17, 1995 - December 5, 1995
GLOBAL CAPITAL SECURITIES CORPORATION
September 14, 1994 - February 14, 1995
PAULSON INVESTMENT COMPANY LLC
August 19, 1994 - September 12, 1994
EURO-ATLANTIC SECURITIES INC.
October 25, 1993 - August 25, 1994
CHATFIELD DEAN & CO., INC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
