Leslieanne Moore
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.
Leslieanne Moore, who also goes by Leslieanne Haffenden, Leslie Anne Moore, was a registered financial professional .
Leslieanne is a previously registered financial professional and started their career in finance in 1980. Leslieanne had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2013 - October 26, 2016
NEWBRIDGE SECURITIES CORPORATION
June 23, 2009 - May 9, 2011
IAA FINANCIAL LLC
August 23, 2007 - December 24, 2008
BONDS.COM LLC
July 17, 2007 - August 14, 2007
RNA CAPITAL, INC.
September 2, 2003 - February 20, 2007
WEISS CAPITAL SECURITIES, INC.
January 16, 2001 - August 22, 2002
NEXTRADE
January 26, 2000 - December 18, 2000
POINT DIREX SECURITIES, LLC
November 12, 1999 - November 15, 2000
GROSSMAN & CO., LLC.
May 20, 1991 - October 20, 1999
YOUR DISCOUNT BROKER, INC.
December 17, 1990 - May 28, 1991
CADARET, GRANT & CO., INC.
September 23, 1988 - December 21, 1990
RICHARD SCOTT ASSET MANAGEMENT, INC.
January 12, 1988 - September 26, 1988
ROYAL PALM INVESTMENT SECURITIES, INC.
May 14, 1987 - January 29, 1988
INVEST FINANCIAL CORPORATION
January 23, 1985 - May 15, 1987
JW GENESIS CLEARING CORP.
June 5, 1984 - November 29, 1984
MURIEL SIEBERT & CO., LLC
July 21, 1980 - May 21, 1984
ROYAL/GRIMM & DAVIS, INC.
January 19, 1980 - June 9, 1980
J.P. MORGAN SECURITIES 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
Series 55
Date: 5/23/2001
Limited Representative-Equity Trader ExamCurrent Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 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.
