Leah L. Mantooth
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.
Leah Lynn Mantooth, who also goes by Leah Lynn Burgard, Leah Lynn Hollingshead, Leah L Pollack, Leah Lynn Pollack, Leah Lynn Robison, Leah Lynn Sawitzki, was a registered financial professional .
Leah is a previously registered financial professional and started their career in finance in 2000. Leah had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 99 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
December 15, 2015 - December 7, 2016
FIRST COMMAND ADVISORY SERVICES
February 17, 2015 - December 7, 2016
FIRST COMMAND BROKERAGE SERVICES, INC.
February 11, 2015 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
November 7, 2007 - May 10, 2013
CUTTER & COMPANY, INC.
November 7, 2007 - May 10, 2013
CUTTER & COMPANY, INC.
March 29, 2006 - October 9, 2007
UBS FINANCIAL SERVICES INC.
June 2, 2004 - October 9, 2007
UBS FINANCIAL SERVICES INC.
August 25, 2003 - May 18, 2004
MORGAN STANLEY DW INC.
July 12, 2000 - September 8, 2003
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
