Leslie E. Martin
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 Earl Martin III, who also goes by Butch Martin, Leslie Earl Martin, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1980. Leslie had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2016 - May 5, 2017
WEA INVESTMENT SERVICES, INC.
June 26, 2013 - July 11, 2013
UNIFIED FINANCIAL SECURITIES, LLC
October 7, 2008 - August 10, 2010
MADISON INVESTMENT HOLDINGS, INC
September 18, 2008 - August 10, 2010
MFD DISTRIBUTOR, LLC
October 22, 1997 - June 28, 2008
CUNA BROKERAGE SERVICES, INC.
January 31, 1997 - June 16, 1997
STRONG INVESTMENTS, INC.
February 4, 1992 - December 31, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 3, 1991 - February 4, 1992
WALNUT STREET SECURITIES, INC.
August 5, 1988 - January 29, 1991
THE ADVISORS GROUP, INC.
May 23, 1988 - July 9, 1988
KIMMINS SECURITIES, INC.
September 19, 1986 - May 2, 1988
QUALICORP FINANCIAL, INC.
August 7, 1985 - September 15, 1986
BALCOR SECURITIES COMPANY
April 23, 1980 - July 26, 1984
G. R. PHELPS & CO., 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 1
Date: 4/16/1980
Registered Representative ExaminationCurrent Firm
WEA INVESTMENT SERVICES, INC.
CRD#: 126907 / SEC#: , 8-65926
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEA MEMBER BENEFIT TRUST | SHAREHOLDER | |
| BENDER, BOYD GRISWOLD | CCO | 3082505 |
| BENDER, BOYD GRISWOLD | PRESIDENT | 3082505 |
| BROWN, SUZANNE LEE | TRUSTEE/DIRECTOR | |
| DIGMAN, CAROLYN KAY | FINOP | 7125836 |
| LOR, MAIWA | TRUSTEE/DIRECTOR | 7786308 |
| MAHONEY, KATHLEEN TRUDEAU | TRUSTEE/DIRECTOR | 8120398 |
| MARTINEZ, JESSE ANDREW | TRUSTEE/DIRECTOR | 7977660 |
| OLSEN-WIRTZ, PEGGY LYNN | TRUSTEE/DIRECTOR | 7641439 |
| UGORETZ, NATHAN LAKE | TRUSTEE/DIRECTOR | 7641425 |
| WILCOX, THOMAS JON JR | TRUSTEE/DIRECTOR | 7977638 |
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.
