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LM

Leslie D. Mallon

LIONTREE ADVISORS LLC
New York, NY 10151
Some features on this profile are disabled
CRD#: 2334480
LM

Professional summary

Leslie Dawn Mallon, who also goes by Leslie Dawn Buchesky, Leslie Buchesky, Leslie Mallon, is a registered financial professional currently at LIONTREE ADVISORS LLC located in New York, New York.

Leslie is registered as a RR (Registered Representative) and started their career in finance in 1999. Leslie has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leslie Dawn Buchesky | Leslie Buchesky | Leslie Mallon

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) - BD

Click below to view Leslie Dawn Mallon's CRS (Customer Relationship Summary).
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

March 15, 2016 - Present

LIONTREE ADVISORS LLC

Office #1: 745 Fifth Avenue 15th Floor, New York, NY 10151Office #2: 745 Fifth Avenue 15th Floor, New York, NY 10151
BD
CRD#: 164399
New York, NY
Past

August 13, 2009 - July 15, 2015

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

June 15, 2001 - May 4, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 25, 1999 - April 5, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/15/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 11/24/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/19/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LIONTREE ADVISORS LLC
AB ADVISORS GROUP LLC | LIONTREE ADVISORS LLC

CRD#: 164399 / SEC#: , 8-69097

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
745 Fifth Avenue 15th Floor, New York, NY 10151
Mailing Address
745 Fifth Avenue 15th Floor, New York, NY 10151
Phone number
(212) 644-4200
Established
Delaware since 05/11/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIONTREE ADVISORY HOLDINGS LLCMEMBER
BOURKOFF, ARYEH BENJAMINCHIEF EXECUTIVE OFFICER2684739
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
JOHNSON, KRISTIN HAZEN MS.CHIEF COMPLIANCE OFFICER5625115
PARISE, JANICE DRUCFO/FINOP2338583
STENZLER, EHREN BRYANTMANAGING PARTNER2939347

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.

Company Information

LIONTREE ADVISORS LLC

CRD#: 164399New York, NY 10151

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