Individual Firm
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LESLIE CAMERON FINN
LES FINN, LESLIE CAMERON FINN SR
CRD#: 2441761
IA
B
STONEX ADVISORS INC.CRD#: 174182 2 PERIMETER PARK SOUTH
SUITE 500 WEST
BIRMINGHAM, AL 35243
SUITE 500 WEST
BIRMINGHAM, AL 35243
STONEX SECURITIES INC.CRD#: 18456 Lawrenceburg, IN
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7/24/1999
Criminal
Final Disposition
12/23/1984
Criminal
Final Disposition
State Registrations
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Indiana 12/6/2019
B
Kentucky 1/6/2025
IA
Indiana 12/6/2019
B
Ohio 12/6/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/6/2019
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/13/2014 - 12/06/2019 | LAWRENCEBURG, IN | |
B | 06/11/2014 - 12/06/2019 | LAGUNA HILLS, CA | |
IA | 05/10/2013 - 02/11/2014 | CINCINNATI, OH | |
B | 05/10/2013 - 02/11/2014 | CINCINNATI, OH | |
B | 03/20/1995 - 04/30/2013 | LAGUNA HILLS, CA | |
B | 09/07/1994 - 02/07/1995 | ORANGE, CA |
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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.