Leslie U. Harris
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 U Harris was a registered financial advisor .
Leslie is a previously registered financial advisor and started their career in finance in 1970. Leslie had worked at 8 firms and has passed the Series 63, Series 1, Series 4 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
June 6, 2005 - March 20, 2011
EAST/WEST SECURITIES CO.
July 17, 1981 - January 3, 2012
EAST/WEST SECURITIES CO.
July 21, 1980 - August 11, 1981
CHARLES SCHWAB & CO., INC.
November 2, 1979 - January 18, 1980
JM DISSOLUTION, INC.
April 6, 1977 - October 26, 1977
SECURITIES SETTLEMENT CORPORATION
August 9, 1976 - April 22, 1977
R. M. RICE & CO., INC.
October 7, 1971 - May 12, 1972
THE CHICAGO CORPORATION
June 8, 1971 - September 16, 1971
MESIROW FINANCIAL, INC.
April 23, 1970 - February 7, 1972
H. HENTZ & 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
Series 1
Date: 6/20/1969
Registered Representative ExaminationCurrent Firm
EAST/WEST SECURITIES CO.
CRD#: 10038 / SEC#: , 8-26118
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
