Sam S. 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.
Sam Stuart Leslie, who also goes by Lewis David Goodwin, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1998. Sam had worked at 5 firms and has passed the Series 66, Series 7 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
August 26, 2008 - April 17, 2012
THE COURTNEY GROUP, LLC
February 18, 2005 - June 29, 2006
LPL FINANCIAL LLC
February 18, 2005 - June 29, 2006
LPL FINANCIAL LLC
October 22, 2003 - February 18, 2005
QA3 FINANCIAL LLC
October 16, 2003 - February 18, 2005
QA3 FINANCIAL CORP.
August 25, 1999 - October 15, 2003
FINANCIAL WEST GROUP
December 14, 1998 - October 15, 2003
FINANCIAL WEST GROUP
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
THE COURTNEY GROUP, LLC
CRD#: 114904 / SEC#: , 8-53453
Contact information
FINRA licenses (11 States and Territories)
Documents
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.
