Leslie D. Funtleyder
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 David Funtleyder, who also goes by Les David Funtleyder, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1999. Leslie had worked at 5 firms and has passed the Series 65, Series 63, Series 86, Series 87 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
April 24, 2013 - November 21, 2013
INDEPENDENT BROKERAGE SOLUTIONS LLC
March 11, 2004 - October 9, 2012
MILLER TABAK + CO., LLC
November 3, 2000 - April 2, 2003
UBS SECURITIES LLC
September 8, 1999 - November 3, 2000
UBS FINANCIAL SERVICES INC.
February 26, 1999 - April 14, 1999
AMERICUS INVESTMENT CORP.
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
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
