Leslie D. Morse

CARY STREET PARTNERS

CHARLOTTE, NC 28209

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CRD#: 2822982

Professional summary

Leslie Dinga Morse is a registered financial advisor currently at CARY STREET PARTNERS located in Charlotte, North Carolina and CARY STREET PARTNERS located in Charlotte, North Carolina.

Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Leslie has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Dinga Morse's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 4, 2021 - Present

CARY STREET PARTNERS

Office #1: 2820 Selwyn Avenue Suite 525, Charlotte, NC 28209

RIA

CRD#: 128545

CHARLOTTE, NC

Current

August 7, 2014 - Present

CARY STREET PARTNERS

Office #1: 2820 Selwyn Avenue Suite 525, Charlotte, NC 28209

CRD#: 128089

Charlotte, NC

Past

May 20, 2009 - August 20, 2014

AMB WEALTH, LLC

RIA

CRD#: 113106

THOMASVILLE, GA

Past

May 18, 2009 - August 20, 2014

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

CRD#: 142619

TALLAHASSEE, FL

Past

March 4, 2008 - September 22, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAPE CORAL, FL

Past

March 4, 2008 - September 22, 2008

LPL FINANCIAL LLC

CRD#: 6413

CAPE CORAL, FL

Past

June 28, 2005 - March 4, 2008

IFMG SECURITIES, INC.

RIA

CRD#: 14416

DELRAY BEACH, FL

Past

June 21, 2005 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

DELRAY BEACH, FL

Past

December 13, 1996 - June 16, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

FORT LAUDERDALE , FL

Past

December 6, 1996 - June 16, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

North Carolina
(8/7/2014)

IAR

North Carolina
(8/4/2021)

Tennessee
(12/12/2018)

Texas
(12/12/2018)

Virginia
(12/12/2018)

IAR

Virginia
(8/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/2/2021

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/22/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Leslie D. Morse

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Dinga Morse's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS

AMB WEALTH, LLC

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2021

Series 65

Date: 12/30/1999

Series 63

Date: 3/7/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/25/1996

Series 4

Date: 3/22/2005

Series 24

Date: 2/22/1999

FINRA

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

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