Kathleen M. Governale

LESLIE GLOBAL WEALTH

Itasca, IL 60143

Some features on this profile are disabled

CRD#: 5281805

Professional summary

Kathleen Marie Governale, CFP®, who also goes by Kathy Marie Governald, Kathy Marie Governale, Kathy Marie Governdale, is a registered financial advisor currently at LESLIE GLOBAL WEALTH, LLC located in Itasca, Illinois and LPL FINANCIAL LLC located in Itasca, Illinois.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kathleen has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Marie Governald | Kathy Marie Governale | Kathy Marie Governdale

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.

1- 06/2022 / Leslie Global Wealth, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / ITASCA, Illinois 2-08/03/2022 - Leslie Global Wealth, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - 160 Hours Per Month - I provide administrative support to Leslie Global Wealth, LLC, an independent investment advisor firm. I started this business activity in 08/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Marie Governale's CRS (Customer Relationship Summary).

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

Experience

Current

July 18, 2022 - Present

LESLIE GLOBAL WEALTH, LLC

Office #1: 500 Park Blvd Suite 1440, Itasca, IL 60143

RIA

CRD#: 128202

Itasca, IL

Current

June 16, 2022 - Present

LPL FINANCIAL LLC

Office #1: 500 Park Boulevard Ste 1440, Itasca, IL 60143

RIA

CRD#: 6413

Itasca, IL

Past

January 12, 2021 - December 21, 2022

STRATEGIC FINANCIAL ADVISORY SERVICES

RIA

CRD#: 123746

ITASCA, IL

Past

August 28, 2009 - June 17, 2022

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Largo, FL

Past

April 20, 2007 - August 24, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

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".

LESLIE GLOBAL WEALTH, LLC

CAPITAL PROGRAMS ADVISORY COMPANY | PORREY LESLIE ASSOC., LLC | PORREY LESLIE AND ASSOCIATES, LLC | LESLIE GLOBAL WEALTH, LLC

CRD#: 128202 / SEC#: 801-106556

RIA

Registered Investment Advisory firm - (8/21/2015 Approved)

Illinois

Registered Investment Advisory firm - (8/21/2015 Terminated)

Texas

Registered Investment Advisory firm - (8/26/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(9/29/2023)

Illinois
(6/16/2022)

IAR

Illinois
(7/18/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/14/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LESLIE GLOBAL WEALTH, LLC

CAPITAL PROGRAMS ADVISORY COMPANY | PORREY LESLIE ASSOC., LLC | PORREY LESLIE AND ASSOCIATES, LLC | LESLIE GLOBAL WEALTH, LLC

CRD#: 128202 / SEC#: 801-106556

RIA

Registered Investment Advisory firm - (8/21/2015 Approved)

Illinois

Registered Investment Advisory firm - (8/21/2015 Terminated)

Texas

Registered Investment Advisory firm - (8/26/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

500 Park Blvd Suite 1440, Itasca, IL 60143

Mailing Address

Po Box 782, Pewaukee, WI 53072

Phone number

(312) 946-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LESLIE GLOBAL WEALTH, LLC PART 2 DISCLOSURE BROCHURE (2/26/2025)

Regulatory assets under management

Total Number of Accounts	967
AUM (Assets Under Management)	$ 405,113,707

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen M. Governale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Marie Governale's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

STRATEGIC FINANCIAL ADVISORY SERVICES

J.W. COLE FINANCIAL, INC.

WATERSTONE FINANCIAL GROUP, INC.

Primary Firm SEC Registration

LESLIE GLOBAL WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/14/2010

SIE

Date: 10/1/2018

Series 7

Date: 4/19/2007

FINRA

Current Firm

LESLIE GLOBAL WEALTH, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LESLIE GLOBAL WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors