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LS

Leslie A. Shupe

Some features on this profile are disabled
CRD#: 423046
LS

Professional summary

Leslie Andrew Shupe II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Leslie is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Leslie had worked at 9 firms, which includes QUAESTOR MUNICIPAL GROUP INC., COMMONWEALTH SECURITIES AND INVESTMENTS INC., ADVEST INC., LANCASTER LEEDS & CO. INC., LEHMAN BROTHERS INC., BUTCHER & SINGER INC., ARTHURS LESTRANGE & COMPANY INCORPORATED, REYNOLDS SECURITIES INC., CHAPLIN MCGUINESS & CO.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

L Andrew Shupe Ii

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.

Blog Corner

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®
None

Experience

Past

March 13, 1989 - April 30, 2001

QUAESTOR MUNICIPAL GROUP, INC.

BD
CRD#: 23777
WEXFORD, PA
Past

October 26, 1984 - January 7, 1989

COMMONWEALTH SECURITIES AND INVESTMENTS, INC.

BD
CRD#: 7399
Past

September 14, 1984 - October 2, 1984

ADVEST, INC.

BD
CRD#: 10
Past

May 17, 1983 - June 11, 1984

LANCASTER LEEDS & CO., INC.

BD
CRD#: 2732
Past

March 25, 1981 - June 8, 1982

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

April 1, 1976 - March 1, 1981

BUTCHER & SINGER INC.

BD
CRD#: 6517
Past

February 12, 1973 - February 2, 1976

ARTHURS, LESTRANGE & COMPANY INCORPORATED

BD
CRD#: 54
Past

March 23, 1971 - March 15, 1973

REYNOLDS SECURITIES, INC.

BD
CRD#: 712
Past

April 17, 1970 - March 16, 1971

CHAPLIN MCGUINESS & CO

BD
CRD#: 1000002

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

General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 5/19/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 10/28/1976
Registered Principal Examination

Current Firm

QM
QUAESTOR MUNICIPAL GROUP, INC.
QUAESTOR MUNICIPAL GROUP, INC.

CRD#: 23777 / SEC#: , 8-40736

BD
Terminated by SEC on 06/29/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 12/13/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SHUPE, LESLIE ANDREW IIPRESIDENT, CEO & DIRECTOR423046
BEIERLE, JAMES MICHAEL SRSECRETARY, TREASURER, CFO & DIRECTOR2231992
POTTER, SHUPE & ASSOCIATES, INC. 401(K) PLANPENSION PLAN
SHUPE, LESLIE ANDREW IIIASSISTANT SECRETARY/ TREASURER2180681

Disclosures

Regulatory Event1

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.

Company Information

QUAESTOR MUNICIPAL GROUP, INC.

CRD#: 23777

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