Jonathan C. Leslie
LPL ENTERPRISE | Vice President, Financial Consultant
LAKE OSWEGO, OR 97035
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CRD#: 5101951
Professional summary
Jonathan Cortlandt Leslie, CFP®, who also goes by Jonathan C Leslie, Jonathan Leslie, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Lake Oswego, Oregon.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Jonathan has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Biography
As a Certified Financial Planner™ with over 16 years of experience, I partner with individuals and executives to help inform and empower them to make decisions. Areas of focus include holistic Financial Planning, Employer Benefits (deferred compensation, equity compensation, etc.), and Tax Strategies. My goal is to be a trusted partner with my clients, helping them create a financial plan they are comfortable with and confident in, given the complexity and uncertainty of the world today.
Question & Answer
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Jonathan C Leslie | Jonathan Leslie
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Cortlandt Leslie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Cortlandt Leslie'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®
CFP®
Start date: 2016
Education
Lafayette College
Bachelor of Arts (BA) - Business and Geology
2001
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 4550 Kruse Way Plz. Suite 110, Lake Oswego, OR 97035RIA
BD
CRD#: 8733
LAKE OSWEGO, OR
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 4550 Kruse Way Plz. Suite 110, Lake Oswego, OR 97035RIA
BD
CRD#: 8733
LAKE OSWEGO, OR
Past
September 5, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Lake Oswego, OR
Past
September 5, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Lake Oswego, OR
Past
July 13, 2018 - March 22, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
PORTLAND, OR
Past
February 26, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
LONE TREE, CO
Past
September 25, 2014 - March 19, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BEAVERTON, OR
Past
September 2, 2014 - September 5, 2014
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
ENGLEWOOD, CO
Past
October 17, 2011 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
ENGLEWOOD, CO
Past
January 24, 2007 - June 27, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
March 28, 2006 - September 19, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/7/2025)
RR
California(11/14/2024)
RR
Colorado(11/14/2024)
RR
Montana(11/14/2024)
RR
Oregon(11/14/2024)
IAR
Oregon(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
Company Information
LPL ENTERPRISE, LLC
Vice President, Financial ConsultantCRD#: 8733Lake Oswego, OR 97035TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
