Leslie A. Boswak
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 Anna Boswak, who also goes by Leslie Anna Boswalk, Leslie Anna Nepveu, Leslie Anna Reiling, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2014. Leslie had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2020 - November 7, 2022
IC ADVISORY SERVICES, INC.
July 22, 2020 - November 7, 2022
THE INVESTMENT CENTER, INC.
May 13, 2016 - August 16, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - August 16, 2018
SIGNATOR INVESTORS, INC.
February 19, 2015 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 19, 2015 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 4, 2014 - August 13, 2014
STRATEGIC ADVISERS LLC
February 15, 2014 - August 12, 2014
FIDELITY BROKERAGE 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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
