Leslie S. Pinto
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 Susan Pinto, CFP®, who also goes by Leslie Susan Goldman, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2011. Leslie had worked at 5 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2020 - November 24, 2020
EP WEALTH ADVISORS
January 30, 2019 - December 18, 2019
GUIDANT WEALTH ADVISORS
July 24, 2018 - September 7, 2018
CONIFER BAY CAPITAL LLC
February 12, 2015 - April 20, 2016
NADLER FINANCIAL GROUP, INC.
March 31, 2011 - September 25, 2012
FIRST FOUNDATION ADVISORS
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
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.
