Leslie F. Silverstein
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 Frank Silverstein, who also goes by Leslie Frank, Leslie Norma Silverstein, Leslie Silverstein, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1996. Leslie had worked at 10 firms and has passed the Series 63, SIE 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
May 4, 2012 - January 4, 2016
SOURCE CAPITAL GROUP, INC.
October 8, 2010 - October 28, 2011
NORTHEAST SECURITIES, LLC
May 14, 2010 - July 15, 2010
JESUP & LAMONT ADVISORS
May 14, 2010 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
December 19, 2008 - June 8, 2010
SANDGRAIN ADVISORS INC.
September 23, 2003 - December 2, 2008
AMERICAN PORTFOLIOS ADVISORS, INC
April 28, 2003 - June 8, 2010
SANDGRAIN SECURITIES LLC
December 21, 2000 - April 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 1999 - April 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 1998 - January 28, 1999
BARINGTON CAPITAL GROUP, L.P.
May 28, 1996 - April 14, 1998
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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