Lesley R. Barth
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.
Lesley Renee Barth, who also goes by Lesley Renee Green, Lesley Renee Noe, Lesley R Noe, Lesley R Sweeney, Lesley Renee Sweeney, was a registered financial professional .
Lesley is a previously registered financial professional and started their career in finance in 1996. Lesley had worked at 11 firms and has passed the Series 66, 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
February 24, 2019 - July 26, 2022
EMPOWER ADVISORY GROUP, LLC
February 22, 2019 - July 26, 2022
EMPOWER FINANCIAL SERVICES, INC.
October 24, 2018 - February 14, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
October 24, 2018 - February 14, 2019
ALLSTATE FINANCIAL SERVICES, LLC
May 29, 2018 - June 28, 2018
PRUCO SECURITIES, LLC.
February 14, 2017 - May 25, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
February 13, 2017 - May 25, 2018
ALLSTATE FINANCIAL SERVICES, LLC
November 2, 2015 - February 7, 2017
BB&T INVESTMENT SERVICES, INC.
November 2, 2015 - February 7, 2017
BB&T INVESTMENT SERVICES, INC.
October 24, 2014 - October 15, 2015
PNC WEALTH MANAGEMENT LLC
June 13, 2014 - October 15, 2015
PNC WEALTH MANAGEMENT LLC
April 23, 2010 - May 29, 2014
STANCORP EQUITIES, INC.
February 2, 2010 - March 10, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
December 18, 2008 - December 4, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 26, 2007 - July 28, 2008
FIDELITY BROKERAGE SERVICES LLC
September 29, 1999 - May 1, 2007
TOUCHSTONE SECURITIES, INC.
December 11, 1996 - July 6, 1998
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
