Individual Firm
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LESLIE LYLE PINCOMBE II
LESLIE LYLE PINCOMBE
CRD#: 1399800
IA
B
UNITED ADVISORS AMERICACRD#: 147350 Pleasant Prairie, WI
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6/8/2015
Customer Dispute
Settled
10/12/2014
Customer Dispute
Denied
State Registrations
IA
Minnesota 5/20/2024
IA
Wisconsin 7/27/2021
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/04/2009 - 06/29/2015 | ST. CHARLES, IL | |
B | 06/04/2009 - 06/29/2015 | ST. CHARLES, IL | |
IA | 01/16/2001 - 05/21/2009 | ROCKFORD, IL | |
B | 12/21/2000 - 05/21/2009 | ROCKFORD, IL | |
B | 07/10/2000 - 12/19/2000 | MINNEAPOLIS, MN | |
B | 03/07/1991 - 07/09/1993 | ||
B | 10/25/1985 - 01/31/1991 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.