Leslie M. Gluesing
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 Margaret Gluesing, who also goes by Leslie Gluesing, Leslie Margaret Hicks, Leslie Hicks Pearson, Leslie Margaret Pearson, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2000. Leslie had worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 31 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 12, 2016 - June 1, 2018
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 13, 2010 - June 1, 2018
TRANSAMERICA INVESTORS SECURITIES, LLC
June 1, 2009 - January 13, 2010
MORGAN STANLEY
June 1, 2009 - January 13, 2010
MORGAN STANLEY
May 9, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 28, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 23, 2000 - July 8, 2002
MORGAN STANLEY DW INC.
May 23, 2000 - May 29, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
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
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
