Lesli A. Harlan
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.
Lesli Anne Harlan, who also goes by Lesli Anne Babb, was a registered financial professional .
Lesli is a previously registered financial professional and started their career in finance in 2007. Lesli had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
January 31, 2019 - October 16, 2024
PNFP CAPITAL MARKETS, INC.
May 17, 2018 - January 24, 2019
M CAPITAL ADVISORS
February 19, 2015 - November 27, 2018
CPF TEXAS
February 2, 2011 - July 13, 2015
LPL FINANCIAL LLC
January 30, 2009 - April 23, 2018
LPL FINANCIAL LLC
October 26, 2007 - December 23, 2008
LPL FINANCIAL LLC
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
PNFP CAPITAL MARKETS, INC.
CRD#: 179528 / SEC#: , 8-69608
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
