Leslie A. Hollingsworth
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 Ann Hollingsworth, CFP®, who also goes by Leslie Ann Fortney, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2000. Leslie had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2023 - October 18, 2024
D.A. DAVIDSON & CO.
October 19, 2023 - October 18, 2024
D.A. DAVIDSON & CO.
February 17, 2021 - October 23, 2023
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - October 23, 2023
TRUIST INVESTMENT SERVICES, INC.
October 22, 2020 - February 17, 2021
BB&T SECURITIES, LLC
October 22, 2020 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - December 31, 2018
BB&T SECURITIES, LLC
January 2, 2018 - December 31, 2018
BB&T SECURITIES, LLC
April 3, 2006 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
March 21, 2006 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
January 7, 2005 - March 21, 2006
BB&T ASSET MANAGEMENT, INC.
October 17, 2000 - December 31, 2004
BB&T INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
