Stuart L. Leslie
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.
Stuart Lyman Leslie was a registered financial advisor .
Stuart is a previously registered financial advisor and started their career in finance in 1973. Stuart had worked at 5 firms and has passed the Series 65, Series 63, Series 1 and Series 24 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, 2006 - December 31, 2007
STUART LESLIE FINANCIAL ADVISOR
November 5, 2003 - December 31, 2003
STUART LESLIE FINANCIAL SERVICES
November 19, 1989 - October 1, 1993
OSAIC WEALTH, INC.
October 31, 1980 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 26, 1978 - November 20, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 1
Date: 3/7/1973
Registered Representative ExaminationCurrent firm
No current employment
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.
