Leslie D. Mercier
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 Diane Mercier, who also goes by Leslie D Lange, Leslie Diane Lange, Leslie D Mercier, Leslie Diane Mercier, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2005. Leslie had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2020 - January 23, 2025
MORGAN STANLEY
July 14, 2020 - January 23, 2025
MORGAN STANLEY
January 8, 2019 - June 9, 2020
CHARLES SCHWAB & CO., INC.
July 5, 2018 - December 31, 2018
CHARLES SCHWAB & CO., INC.
July 5, 2018 - June 9, 2020
CHARLES SCHWAB & CO., INC.
April 7, 2017 - June 13, 2018
MORGAN STANLEY
April 7, 2017 - June 13, 2018
MORGAN STANLEY
March 23, 2009 - April 4, 2017
UBS FINANCIAL SERVICES INC.
March 23, 2009 - April 4, 2017
UBS FINANCIAL SERVICES INC.
October 1, 2008 - March 25, 2009
J.P. MORGAN SECURITIES LLC
August 5, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
June 13, 2008 - July 23, 2008
J.P. MORGAN SECURITIES INC.
May 30, 2008 - March 19, 2009
CHASE INVESTMENT SERVICES CORP.
May 29, 2008 - March 19, 2009
CHASE INVESTMENT SERVICES CORP.
February 1, 2006 - May 20, 2008
CITIGROUP GLOBAL MARKETS INC.
December 20, 2005 - May 20, 2008
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
