LK
Leslie L. Keng
Some features on this profile are disabled
CRD#: 3150463
LK
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.
Leslie Lamar Keng, who also goes by Leslie L Keng, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1998. Leslie had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Leslie L Keng
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 11, 2023 - January 6, 2025
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
San Antonio, TX
Past
July 11, 2023 - January 6, 2025
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
September 7, 2021 - July 10, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SAN ANTONIO, TX
Past
September 7, 2021 - July 10, 2023
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SAN ANTONIO, TX
Past
October 3, 2019 - September 2, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
AUSTIN, TX
Past
September 19, 2019 - September 2, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
AUSTIN, TX
Past
April 15, 2014 - May 10, 2017
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
Addison, TX
Past
April 15, 2014 - May 10, 2017
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
ADDISON, TX
Past
October 5, 2010 - March 24, 2014
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ROANOKE, VA
Past
October 5, 2010 - March 24, 2014
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ROANOKE, VA
Past
May 9, 2008 - September 17, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CHANTILLY, VA
Past
May 9, 2008 - September 17, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CHANTILLY, VA
Past
October 17, 2003 - April 30, 2008
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CHARLOTTE, NC
Past
October 17, 2003 - April 30, 2008
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
RICHMOND, VA
Past
January 21, 2003 - October 6, 2003
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
June 20, 2002 - January 16, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FREDERICKSBURG, VA
Past
June 15, 2002 - January 16, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 21, 2000 - June 20, 2002
WACHOVIA SECURITIES, INC.
RIA
CRD#: 431
CHARLOTTE, NC
Past
February 14, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
June 21, 1999 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
BD
CRD#: 17503
WINSTON SALEM, NC
Past
November 30, 1998 - June 24, 1999
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
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".
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131
Mailing Address
10150 Meanley Drive 1st Floor, San Diego, CA, 92131
Phone number
(858) 530-4400
Established
California since 11/07/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
791
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
