Leslie B. Rosenberg

HUMANIZE WEALTH

Seattle, WA 98121

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CRD#: 5173650

Professional summary

Leslie Brooks Rosenberg, CFP®, who also goes by Leslie Brooks Warren, is a registered financial advisor currently at HUMANIZE WEALTH located in Seattle, Washington.

Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Leslie has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie Brooks Warren

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Brooks Rosenberg'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^®

Certified Financial Planner

Start date: 2017

Experience

Current

July 14, 2023 - Present

HUMANIZE WEALTH

Office #1: 2800 1st Avenue Suite 329, Seattle, WA 98121

RIA

CRD#: 325178

Seattle, WA

Past

June 15, 2021 - January 27, 2023

BLUE WATER WEALTH

RIA

CRD#: 164432

SEATTLE, WA

Past

March 20, 2018 - June 1, 2021

PARACLE ADVISORS LLC

RIA

CRD#: 130726

MERCER ISLAND, WA

Past

August 29, 2012 - June 24, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

PHILADELPHIA, PA

Past

June 7, 2012 - August 21, 2012

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

October 1, 2008 - June 3, 2011

J.P. MORGAN SECURITIES LLC

CRD#: 79

PHILADELPHIA, PA

Past

September 1, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

PHILADELPHIA, PA

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.

Highlighted states indicate IAR registrations

IAR

Washington
(7/14/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/15/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/24/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2008

General Securities Representative Examination

Current Firm

HUMANIZE WEALTH

HUMANIZE WEALTH | HUMANIZE WEALTH PARTNERS LLC | HUMANIZE WEALTH PARTNERS

CRD#: 325178 / SEC#:

Washington

Registered Investment Advisory firm - (7/14/2023 Approved)

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Contact information

Main Address

2800 1st Avenue Suite 329, Seattle, WA 98121

Mailing Address

Phone number

(206) 588-6550

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 26,566,957

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.

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Leslie B. Rosenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Brooks Rosenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUMANIZE WEALTH

BLUE WATER WEALTH

PARACLE ADVISORS LLC

J.P. MORGAN SECURITIES LLC

BLACKROCK INVESTMENTS, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/2008

SIE

Date: 6/24/2015

Series 7

Date: 8/29/2008

Current Firm

HUMANIZE WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HUMANIZE WEALTH

TRUST BUT VERIFY

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