Leslie J. Goutier
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 J Goutier, who also goes by Leslie Jacques Goutier, Leslie Goutier, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2015. Leslie had worked at 5 firms and has passed the Series 63, Series 7TO, Series 57TO, Series 3, 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 2, 2019 - December 23, 2020
TRADESTATION SECURITIES, INC.
January 29, 2019 - April 22, 2019
T3 TRADING GROUP, LLC
September 4, 2018 - December 6, 2018
BGC FINANCIAL, L.P.
April 11, 2016 - November 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 2015 - December 11, 2015
MSI FINANCIAL SERVICES, 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
Series 7TO
Date: 3/12/2022
General Securities Representative ExaminationSeries 57TO
Date: 3/12/2022
Securities Trader ExamCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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