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Detailed Report
LESLIE THERESA VIPOND
LESLIE THERESA BRANDRETHEISENHUIS, LESLIE T WILLIAMSON, LESLIE THERESA WILLIAMSON
CRD#: 2297587
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 2423 E. LINCOLN DRIVE
PHOENIX, AZ 85016
CHARLES SCHWAB & CO., INC.CRD#: 5393 2423 E Lincoln Dr
Phoenix, AZ 85016-1215
Registration History
1995200020052010201520202025IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2012 - Present (12 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2010 - Present (15 years)B401(K) INVESTMENT SERVICES, INC. (CRD# 31150)2008 - 2008 (<1 year)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2005 (<1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2002 - 2005 (3 years)BALLMERICA INVESTMENTS, INC. (CRD# 3960)1994 - 2002 (7 years)BFIRST OF AMERICA BROKERAGE SER... (CRD# 16989)1993 - 1994 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2010 - 2012 (2 years)
License(s)

State Registrations

B
Arizona 1/26/2010
B
Michigan 1/2/2013
IA
Arizona 12/17/2012
B
Nevada 1/2/2013
B
California 1/26/2010
B
New Jersey 7/27/2017
B
Colorado 1/2/2013
B
New York 1/2/2013
B
Florida 1/2/2013
B
North Carolina 2/8/2013
B
Georgia 1/2/2013
B
Oregon 1/2/2013
B
Idaho 1/2/2013
B
Tennessee 1/29/2020
B
Illinois 1/2/2013
B
Texas 1/2/2013
B
Iowa 1/15/2015
IA
Texas 1/4/2021
B
Maine 1/15/2015
B
Utah 1/2/2013
B
Maryland 1/3/2017
B
Washington 1/2/2013
B
Massachusetts 2/7/2024
B
Wisconsin 10/14/2013

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
2423 E. LINCOLN DRIVE, PHOENIX, AZ 85016
Registered with this firm since 12/17/2012
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2423 E Lincoln Dr, Phoenix, AZ 85016-1215
Registered with this firm since 1/26/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/26/2010 - 12/18/2012 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
B
 10/27/2008 - 12/31/2008 401(K) INVESTMENT SERVICES, INC. (CRD#:31150) AUSTIN, TX
B
 10/31/2005 - 11/08/2005 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) SCOTTSDALE, AZ
B
 09/04/2002 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 10/17/1994 - 06/04/2002 ALLMERICA INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
B
 11/01/1993 - 10/05/1994 FIRST OF AMERICA BROKERAGE SERVICE, INC. (CRD#:16989) CLEVELAND, OH
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.