Leslie J. Yates
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 Jo Yates, who also goes by Leslie Jo Szymanski, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2000. Leslie had worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2002 - June 5, 2013
PALOUSE CAPITAL MANAGEMENT, INC.
July 11, 2002 - March 29, 2004
PARTNERS INVESTMENT NETWORK, INC.
June 5, 2001 - July 15, 2002
PIPER SANDLER & CO.
July 17, 2000 - July 15, 2002
PIPER SANDLER & CO.
Primary Firm SEC Registration
PALOUSE CAPITAL MANAGEMENT, INC.
CRD#: 104573 / SEC#: 801-46893
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
PALOUSE CAPITAL MANAGEMENT, INC.
CRD#: 104573 / SEC#: 801-46893
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 892 |
| AUM (Assets Under Management) | $ 326,533,888 |
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.
