Leslie K. Smith
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 K. Smith, who also goes by Leslie Smith, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2006. Leslie had worked at 3 firms and has passed the Series 66, 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
December 22, 2009 - January 2, 2023
CHEVY CHASE TRUST COMPANY
August 23, 2007 - November 24, 2009
CITIGROUP GLOBAL MARKETS INC.
June 15, 2007 - November 24, 2009
CITIGROUP GLOBAL MARKETS INC.
September 12, 2006 - June 5, 2007
UST SECURITIES CORP.
Primary Firm SEC Registration
CHEVY CHASE TRUST COMPANY
CRD#: 110742 / SEC#: 801-55134
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
CHEVY CHASE TRUST COMPANY
CRD#: 110742 / SEC#: 801-55134
Contact information
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,016 |
| AUM (Assets Under Management) | $ 40,286,791,400 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 01/26/2024 | ||
| 04/27/2023 |
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.
