Leslie A. Harrison
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 Ann Harrison, who also goes by Leslie A Gray, Leslie A Harrison, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1994. Leslie had worked at 7 firms and has passed the Series 65, Series 63, Series 7 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 4, 2020 - February 25, 2025
LNW
January 6, 2016 - December 15, 2020
FILAMENT, LLC
February 11, 2014 - December 31, 2015
FILAMENT, LLC
August 26, 2013 - January 6, 2014
CAPITAL ONE INVESTING, LLC
September 18, 2012 - July 18, 2013
SYMETRA SECURITIES, INC.
January 22, 2010 - February 17, 2011
FREESTONE SECURITIES, LLC
January 26, 2001 - December 14, 2007
WAMU INVESTMENTS, INC.
November 16, 1994 - July 25, 2000
SIGNATOR FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LNW
CRD#: 113400 / SEC#: 801-60345
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
LNW
CRD#: 113400 / SEC#: 801-60345
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,463 |
| AUM (Assets Under Management) | $ 4,526,284,775 |
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.
