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Leigh Allison Charley-geissler

CRD# 4177832·Registered 2000 - 2015
Previously Registered: Being a previously registered professional could mean that Leigh 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.

Professional Summary

Leigh Allison Charley-geissler, who also goes by Allison Charley, Leigh Allison Charley, was a registered financial advisor. Leigh was a previously registered financial professional and started their career in finance 2000 - 2015. Leigh had worked at 11 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 4, Series 53, Series 51 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Allison Charley, Leigh Allison Charley

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

MIP GLOBAL, INC.·CRD# 164640
BD
San Juan, PR
November 18, 2013 - March 13, 2015
FAMILY ENDOWMENT PARTNERS, LP·CRD# 150151
RIA
Bethesda, MD
October 25, 2013 - March 13, 2015
ITB SECURITIES, LLC·CRD# 132665
BD
New York, NY
January 21, 2011 - August 8, 2012
DEMPSEY LORD SMITH, LLC·CRD# 141238
RIA
Rockville, MD
June 11, 2010 - October 25, 2013
DEMPSEY LORD SMITH, LLC·CRD# 141238
BD
Rome, GA
June 3, 2010 - October 25, 2013
RYDEX ADVISORY SERVICES, LLC·CRD# 132735
RIA
Rockville, MD
January 29, 2007 - October 3, 2008
GUGGENHEIM DISTRIBUTORS, LLC·CRD# 40805
BD
Rockville, MD
June 8, 2006 - October 3, 2008
CHEVY CHASE FINANCIAL SERVICES·CRD# 14894
RIA
Bethesda, MD
March 24, 2005 - May 26, 2006
CHEVY CHASE FINANCIAL SERVICES·CRD# 14894
BD
Bethesda, MD
March 24, 2005 - May 26, 2006
GROVE POINT INVESTMENTS, LLC·CRD# 1763
RIA
Rockville, MD
January 9, 2003 - March 18, 2005
GROVE POINT INVESTMENTS, LLC·CRD# 1763
RIA
Rockville, MD
July 29, 2002 - December 31, 2002
GROVE POINT INVESTMENTS, LLC·CRD# 1763
BD
Rockville, MD
July 29, 2002 - March 18, 2005
THE ADVISORS GROUP, INC.·CRD# 14035
BD
Bethesda, MD
October 31, 2001 - August 8, 2002
THE LEADERS GROUP, INC.·CRD# 37157
BD
Littleton, CO
April 5, 2001 - September 5, 2001
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
June 28, 2000 - January 2, 2001

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Current Firm

MG
MIP GLOBAL, INC.

MIP GLOBAL, INC.

CRD#: 164640 / SEC#: 8-69110
BD
Cancelled by SEC on 09/28/2023

Contact Information

Established

Puerto Rico since 04/25/2012

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MOSAIC ENTERPRISES, INC.OWNER—
DRUTAU, MAYA ARTEMOVNAFINOP4580500
LUCAS, CHARLES CRAFT IIICOMPLIANCE CONSULTANT1285092
SUCHORSKY, MICHAEL TCHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER2715427

Disclosures

Regulatory Event

8

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2000About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2015About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Jun 2003About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jun 2000About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Dec 2006About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Sep 2005About the Series 53 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Mar 2003About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Oct 2002About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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