Abby A. Fletcher
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.
Abby Anne Fletcher was a registered financial professional .
Abby is a previously registered financial professional and started their career in finance in 2007. Abby had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - March 8, 2022
THE LEADERS GROUP, INC.
July 23, 2019 - February 14, 2020
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
June 21, 2017 - October 30, 2017
VOYA FINANCIAL ADVISORS, INC.
September 17, 2007 - February 28, 2017
SLD AMERICA EQUITIES, INC.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
