Leslie B. Daly
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 Breedlove Daly was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2014. Leslie had worked at 2 firms and has passed the Series 66, 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
May 29, 2017 - December 31, 2019
CONCORDE INVESTMENT SERVICES, LLC
May 15, 2017 - December 31, 2019
CONCORDE ASSET MANAGEMENT, LLC
January 22, 2015 - December 31, 2015
CONCORDE ASSET MANAGEMENT, LLC
October 9, 2014 - December 31, 2015
CONCORDE INVESTMENT 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
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
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.
