RL
Roberto F. Leslie
OSAIC INSTITUTIONS
Brooklyn, NY 11216
Some features on this profile are disabled
CRD#: 2755940
RL
Professional summary
Roberto Francisco Leslie, who also goes by Robert Leslie, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Brooklyn, New York.
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roberto has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Leslie
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) R.F.LESLIE, IT IS NOT INVESTMENT RELATED,65-20 GRAND CENTRAL PKWY FOREST HILLS,NY 11375,REAL ESTATE OWNERSHIP, PASSIVE INVESTMENT,OWNER SINCE0 2/2002-PRESENT, 2 HOURS PER MONTH ONLY ON SUNDAYS NEVER DURING TRADING HOURS.DUTIES NONE PASSIVE OWNERSHIP.
2.) Clear natural Corp LLC. No, not investment related. Sell suppliments, soaps, hand creams. Owner. Approx 8 hours per week not during trading hours. Started in Jan 2019.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Francisco Leslie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roberto Francisco Leslie's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 29, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 539 Eastern Parkway, Brooklyn, NY 11216Office #2: 1619 Sheepshead Bay, Brooklyn, NY 11235Office #3: 15 Graham Avenue, Brooklyn, NY 11206Office #4: 1979 Ralph Avenue, Brooklyn, NY 11234Office #5: 5216 Fifth Avenue, Brooklyn, NY 11220Office #6: 2121 Avenue U, Brooklyn, NY 11229Office #7: 1620 Pitkin Avenue, Brooklyn, NY 11212Office #8: 956 Flatbush Ave, Brooklyn, NY 11226RIA
BD
CRD#: 35371
Brooklyn, NY
Current
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 539 Eastern Parkway, Brooklyn, NY 11216Office #2: 1619 Sheepshead Bay, Brooklyn, NY 11235Office #3: 15 Graham Avenue, Brooklyn, NY 11206Office #4: 1979 Ralph Avenue, Brooklyn, NY 11234Office #5: 5216 Fifth Avenue, Brooklyn, NY 11220Office #6: 2121 Avenue U, Brooklyn, NY 11229Office #7: 1620 Pitkin Avenue, Brooklyn, NY 11212Office #8: 956 Flatbush Ave, Brooklyn, NY 11226RIA
BD
CRD#: 35371
Brooklyn, NY
Past
February 16, 2010 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
BROOKLYN, NY
Past
March 4, 2008 - February 17, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
BROOKLYN, NY
Past
June 7, 2005 - March 4, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
BROOKLYN, NY
Past
January 3, 2005 - May 3, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
MELVILLE, NY
Past
February 5, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
BD
CRD#: 127042
LAKE SUCCESS, NY
Past
June 17, 1998 - March 4, 2002
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
July 11, 1997 - June 17, 1998
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
Past
December 5, 1996 - June 24, 1997
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
Past
July 8, 1996 - December 13, 1996
AMERICORP SECURITIES, INC.
BD
CRD#: 30405
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(1/2/2020)
RR
Florida(7/1/2016)
RR
Georgia(11/10/2020)
RR
New Jersey(7/1/2016)
IAR
New Jersey(9/29/2020)
RR
New York(7/1/2016)
IAR
New York(7/14/2021)
RR
Pennsylvania(1/6/2020)
RR
Puerto Rico(7/1/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
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.
