Leslie M. Hausse
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 Michael Hausse, who also goes by Les M. Hausse, Les Hausse, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2002. Leslie had worked at 10 firms and has passed the Series 66, SIE, Series 7 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
February 27, 2018 - January 11, 2021
TD AMERITRADE, INC.
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
June 1, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
March 31, 2009 - February 26, 2018
SCOTTRADE, INC.
June 25, 2007 - October 20, 2008
NWT FINANCIAL GROUP, LLC
April 26, 2007 - May 30, 2007
ELECTRONIC ACCESS DIRECT, INC.
March 30, 2007 - December 31, 2008
GREENWING SECURITIES, INC.
June 26, 2006 - December 31, 2006
GREENWING SECURITIES, INC.
April 24, 2006 - November 3, 2006
ELECTRONIC ACCESS DIRECT, INC.
November 19, 2003 - February 17, 2006
NYLIFE SECURITIES LLC
December 20, 2002 - July 14, 2003
IDS LIFE INSURANCE COMPANY
December 20, 2002 - July 14, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
