Leslie A. Herr

SIMPLIFIED WEALTH MANAGEMENT

Barrington, IL 60010

Some features on this profile are disabled

CRD#: 4383165

Professional summary

Leslie Anne Herr, who also goes by Leslie A Brock, Leslie Anne Brock, Leslie Herr Brock, Leslie Herr, Leslie Herr-solomon, is a registered financial advisor currently at SIMPLIFIED WEALTH MANAGEMENT, LLC located in Barrington, Illinois.

Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Leslie has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie A Brock | Leslie Anne Brock | Leslie Herr Brock | Leslie Herr | Leslie Herr-Solomon

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) - RIA

Click below to view Leslie Anne Herr's CRS (Customer Relationship Summary).

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

Current

February 26, 2021 - Present

SIMPLIFIED WEALTH MANAGEMENT, LLC

Office #1: 565 Fox Glen Ct., Barrington, IL 60010

RIA

CRD#: 312513

Barrington, IL

Past

September 12, 2014 - January 16, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

LAKE ZURICH, IL

Past

September 8, 2014 - January 16, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LAKE ZURICH, IL

Past

March 16, 2012 - October 7, 2013

NEW ENGLAND SECURITIES

RIA

CRD#: 615

CHICAGO, IL

Past

January 11, 2012 - October 7, 2013

NEW ENGLAND SECURITIES

CRD#: 615

CHICAGO, IL

Past

March 28, 2006 - December 18, 2007

ANDERSON HERR FINANCIAL SERVICES, LLC

RIA

CRD#: 139573

HOUSTON, TX

Past

June 20, 2001 - December 31, 2005

WADDELL & REED

RIA

CRD#: 866

HOUSTON, TX

Past

April 27, 2001 - December 31, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/16/2021)

IAR

Illinois
(2/26/2021)

IAR

Texas
(5/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/1/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2012

General Securities Representative Examination

Current Firm

SIMPLIFIED WEALTH MANAGEMENT, LLC

CRD#: 312513 / SEC#:

Arizona

Registered Investment Advisory firm - (6/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (2/26/2021 Approved)

Texas

Registered Investment Advisory firm - (5/28/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

565 Fox Glen Ct., Barrington, IL 60010

Mailing Address

Phone number

(847) 999-3693

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	53
AUM (Assets Under Management)	$ 21,596,499

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.

Similar Advisors

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Leslie A. Herr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Anne Herr's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIMPLIFIED WEALTH MANAGEMENT, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

ANDERSON HERR FINANCIAL SERVICES, LLC

WADDELL & REED

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2012

SIE

Date: 10/1/2018

Series 7

Date: 1/10/2012

Current Firm

SIMPLIFIED WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SIMPLIFIED WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors