Leslie A. Lauer
RBC CAPITAL MARKETS | Managing Director
Charlevoix, MI
Some features on this profile are disabled
CRD#: 2941432
Professional summary
Leslie Ann Lauer, CFP®, ChFC® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Charlevoix, Michigan.
Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Leslie has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Leslie focuses on all aspects of private wealth management, specifically investments, multi-generational estate planning, insurance, liability management and philanthropy. Additionally, she provides cash management, executive compensation and captive insurance company asset management to corporate clients.
Leslie joined UBS in 2006 and has 30 years of experience in the financial services industry, with roles in banking, consulting and private equity. She has held leadership positions in national ESOP organizations, including nine years on the Board of Governors of The ESOP Association and past Chairman of the Finance Committee. She also served for six years on the board of the National Center for Employee Ownership, where she served as Chairman for two years. In 2014, Leslie was elected Treasurer of the Ohio Captive Insurance Association. She is also on the Advisory Board of the Columbus Foundation, a member of The Association for Corporate Growth and a member of Women for Economic and Leadership Development.
A frequent speaker on employee ownership, one of her most notable engagements included teaching the MBA Capstone class in the Fall of 2014 at the prestigious University of Oxford in the United Kingdom.
Leslie's personal interests include art, traveling, golf and swimming. She is also an active supporter of the Leukemia & Lymphoma Society and the Susan G. Komen Breast Cancer Foundation.
Question & Answer
What are your service offerings?
Insurance
Institutional consulting
Trust & estate planning
Philanthropic services
Loans/credit services
Financial planning
Retirement planning
What is your current number of clients?
Under 50
What is your minimum asset requirement?
10M
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.
(1) Intervine Inc. / 851 Napa Valley Corporate Way, Ste G, Napa, CA 94558 / United States / No / Company / www.intervineinc.com / Food, Beverages & Tobacco / They are a wine distributor. Clients include the airlines and cruise lines. They are 100% ESOP owned with 30 employees / Member of Board of directors / I will have 4, 4 hour meetings annually. / Yes, as chair of the committee; member of the compensation committee, finance committee and the board responsible for reviewing budget and strategic plans / No / Start Date 9/20/2019 (2) NAME OF ENTITY: Rental Property ADDRESS: 11550 Evergreen Charlevioux MI 49720 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: rental property START DATE: 09.16.20 CAPACITY: Other DUTIES: rental property HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Fleetwood Group ADDRESS: 11832 James Street Holland MI 49424 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: K-12 Furniture Manufacturing CAPACITY: Board of Directors * START DATE: 07/01/2007 DUTIES: review financial performance and strategic plans HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.25 (4) NAME OF ENTITY: Exit Planning Institute ADDRESS: 27881 Clemens Rd A, Westlake OH 44145 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Teach ESOP segment of the CEPA curriculum. START DATE: 03.02.20 CAPACITY: Other DUTIES: teach ESOP portion of the CEPA program HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Leslie Ann Lauer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leslie Ann Lauer'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®
Experience
Current
August 18, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #4: 3550 Lenox Road Suite 1950, Atlanta, GA 30326RIA
BD
CRD#: 31194
Charlevoix, MI
Current
August 18, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #3: 3550 Lenox Road Suite 1950, Atlanta, GA 30326RIA
BD
CRD#: 31194
Charlevoix, MI
Past
May 2, 2006 - August 29, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
COLUMBUS, OH
Past
February 8, 2006 - August 29, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
COLUMBUS, OH
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York 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
Alabama(8/29/2023)
RR
Alaska(8/18/2023)
RR
Arizona(8/18/2023)
RR
Arkansas(11/7/2023)
RR
California(8/18/2023)
IAR
California(8/8/2024)
RR
Colorado(8/18/2023)
RR
Connecticut(8/18/2023)
RR
Delaware(8/30/2023)
RR
District of Columbia(8/18/2023)
RR
Florida(8/18/2023)
RR
Georgia(8/18/2023)
IAR
Georgia(8/21/2023)
RR
Hawaii(10/27/2023)
RR
Idaho(8/18/2023)
RR
Illinois(8/18/2023)
RR
Indiana(8/18/2023)
RR
Iowa(8/21/2023)
RR
Kansas(8/18/2023)
RR
Kentucky(8/18/2023)
RR
Louisiana(8/18/2023)
RR
Maryland(8/18/2023)
RR
Massachusetts(8/18/2023)
RR
Michigan(8/18/2023)
IAR
Michigan(8/6/2024)
RR
Minnesota(8/31/2023)
RR
Mississippi(8/18/2023)
RR
Missouri(8/18/2023)
RR
Montana(8/18/2023)
RR
Nebraska(8/18/2023)
RR
Nevada(8/18/2023)
RR
New Hampshire(8/18/2023)
RR
New Jersey(8/18/2023)
RR
New Mexico(8/18/2023)
RR
New York(8/18/2023)
RR
North Carolina(8/18/2023)
RR
North Dakota(8/18/2023)
RR
Ohio(8/18/2023)
IAR
Ohio(8/29/2023)
RR
Oklahoma(8/18/2023)
RR
Oregon(8/18/2023)
RR
Pennsylvania(8/18/2023)
RR
Puerto Rico(8/18/2023)
RR
Rhode Island(8/18/2023)
RR
South Carolina(8/18/2023)
RR
Tennessee(9/1/2023)
RR
Texas(8/18/2023)
IAR
Texas(8/18/2023)
RR
Utah(8/18/2023)
RR
Vermont(8/18/2023)
RR
Virginia(8/18/2023)
RR
Washington(8/18/2023)
RR
West Virginia(8/18/2023)
RR
Wisconsin(8/18/2023)
RR
Wyoming(1/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York 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
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
Company Information
RBC CAPITAL MARKETS, LLC
Managing DirectorCRD#: 31194Charlevoix, MITRUST BUT VERIFY
Monitor Leslie Lauer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
