Leslie J. Augustson
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 Jayne Augustson, who also goes by Leslie Jane Augustson, Leslie Jane Chase, Leslie Jayne Chase, Leslie Jane Darcy, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1981. Leslie had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 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
September 13, 2017 - December 31, 2021
AUGUST FINANCIAL ADVISORY
September 15, 2016 - October 2, 2017
NORTHWEST ASSET MANAGEMENT
February 16, 2007 - September 13, 2016
NPB FINANCIAL GROUP, LLC
February 16, 2007 - September 13, 2016
NPB FINANCIAL GROUP, LLC
February 6, 2006 - March 12, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
September 23, 2005 - March 12, 2007
ASSOCIATED SECURITIES CORP.
September 23, 2005 - March 12, 2007
ASSOCIATED SECURITIES CORP.
August 2, 2005 - September 23, 2005
NATIONAL PLANNING CORPORATION
July 29, 2005 - September 23, 2005
NATIONAL PLANNING CORPORATION
July 5, 2000 - August 11, 2005
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
October 22, 1999 - August 11, 2005
ASSOCIATED SECURITIES CORP.
December 19, 1989 - October 27, 1999
PORTSMOUTH FINANCIAL SERVICES
December 20, 1988 - December 15, 1989
SUTRO & CO. INCORPORATED
September 25, 1987 - February 3, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
August 28, 1985 - February 11, 1986
SUTRO & CO. INCORPORATED
June 1, 1984 - February 14, 1985
LARKSPUR CAPITAL SECURITIES CORP.
October 25, 1982 - November 1, 1985
UBS FINANCIAL SERVICES INC.
May 24, 1982 - September 27, 1982
KIDDER, PEABODY & CO. INCORPORATED
May 18, 1981 - May 14, 1982
MORGAN STANLEY & CO. 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
AUGUST FINANCIAL ADVISORY
CRD#: 289414 / SEC#:
Contact information
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.
