David H. Lesliehughes
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.
David Humphrey Lesliehughes was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 3 firms and has passed the Series 63 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
March 20, 2000 - May 3, 2004
INVESTMENT ADVISORS & CONSULTANTS, INC.
September 4, 1999 - January 14, 2000
INVESTMENT ADVISORS & CONSULTANTS, INC.
March 18, 1997 - August 25, 1999
IDS LIFE INSURANCE COMPANY
March 18, 1997 - August 25, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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
INVESTMENT ADVISORS & CONSULTANTS, INC.
CRD#: 7996 / SEC#: , 8-23962
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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