Leslie A. Wheaton

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CRD#: 2223288

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 Anne Wheaton was a registered financial professional .

Leslie is a previously registered financial professional and started their career in finance in 1992. Leslie had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 52, Series 14, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 28, 2017 - April 29, 2022

AMBIT AMERICA INC.

CRD#: 173795

NEW YORK, NY

Past

January 4, 2016 - August 17, 2016

MERRIMAN CAPITAL, INC.

CRD#: 18296

San Francisco, CA

Past

July 22, 2013 - August 14, 2015

STOCKKINGS CAPITAL LLC

CRD#: 164445

NEW YORK, NY

Past

June 21, 2013 - July 22, 2013

STOCKKINGS CAPITAL LLC

CRD#: 164445

NEW YORK, NY

Past

December 4, 2009 - May 9, 2012

ICP SECURITIES LLC

CRD#: 133436

NEW YORK, NY

Past

July 6, 2009 - November 23, 2009

FITZGIBBON TOIGO & CO. LLC

CRD#: 122142

WAYNE, NJ

Past

October 7, 2004 - July 27, 2007

VISTA RESEARCH BROKERAGE, INC.

CRD#: 130125

NEW YORK, NY

Past

May 3, 2000 - February 10, 2003

BNY CAPITAL MARKETS INC.

CRD#: 18303

NEW YORK, NY

Past

June 22, 1992 - June 28, 1999

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 6/20/1992

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/3/1992

Municipal Securities Principal Examination

Current Firm

AMBIT AMERICA INC.

CRD#: 173795 / SEC#: , 8-69555

Terminated by SEC on 03/08/2025

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/27/2014

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AMBIT PRIVATE LIMITED F/K/A AMBIT CORPORATE FINANCE PRIVATE LIMITED	SHAREHOLDER
CULLINANE, JOHN REID	CCO, CEO	5003588
GRAY, JOHN CLARKE	PRINCIPAL OPERATIONS OFFICER	1367440
GRAY, JOHN CLARKE	CFO & FINANCIAL OPERATIONS PRINCIPAL	1367440
GRAY, JOHN CLARKE	PRINCIPAL FINANCIAL OFFICER	1367440

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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Advisor Monitoring

Firm Stability Insights

Leslie A. Wheaton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRIMAN CAPITAL, INC.

STOCKKINGS CAPITAL LLC

STOCKKINGS CAPITAL LLC

ICP SECURITIES LLC

FITZGIBBON TOIGO & CO. LLC

VISTA RESEARCH BROKERAGE, INC.

BNY CAPITAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2013

Series 63

Date: 7/17/1992

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/16/2000

Series 52

Date: 6/20/1992

Series 14

Date: 1/2/2023

Series 24

Date: 5/2/2001

Series 53

Date: 9/3/1992

Current Firm

AMBIT AMERICA INC.

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

AMBIT AMERICA INC.

TRUST BUT VERIFY

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