Leslie M. Bowden
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 Meredith Bowden was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2006. 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 21, 2023 - July 11, 2025
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 26, 2015 - February 9, 2023
LPL FINANCIAL LLC
January 9, 2015 - February 9, 2023
LPL FINANCIAL LLC
April 2, 2014 - September 11, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 28, 2014 - September 11, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 21, 2011 - March 21, 2014
SUMMIT FINANCIAL GROUP INC
August 11, 2011 - March 21, 2014
SUMMIT BROKERAGE SERVICES, INC.
February 22, 2011 - August 2, 2011
MSI FINANCIAL SERVICES, INC.
January 21, 2011 - August 2, 2011
MSI FINANCIAL SERVICES, INC.
June 6, 2008 - December 23, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 30, 2008 - December 23, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 20, 2007 - May 8, 2008
FSC SECURITIES CORPORATION
February 6, 2007 - May 8, 2008
FSC SECURITIES CORPORATION
February 6, 2007 - June 3, 2008
ADVANTAGE CAPITAL CORPORATION
July 12, 2006 - February 8, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 2006 - February 8, 2007
AMERIPRISE FINANCIAL SERVICES, 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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
