C L. Forslund
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.
C Leslie Forslund, who also goes by Les Forslund, was a registered financial advisor .
C is a previously registered financial advisor and started their career in finance in 1994. C had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
December 19, 2006 - January 4, 2011
LBMZ SECURITIES, INC.
October 3, 2006 - January 3, 2011
ZACKS INVESTMENT MANAGEMENT, INC.
June 16, 2004 - October 17, 2006
LPL FINANCIAL LLC
June 15, 2004 - October 17, 2006
LPL FINANCIAL LLC
July 27, 1999 - June 18, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 1999 - June 18, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1996 - April 12, 1999
MML INVESTORS SERVICES, LLC
September 27, 1994 - March 1, 1996
G. R. PHELPS & 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
LBMZ SECURITIES, INC.
CRD#: 7874 / SEC#: , 8-23266
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
