• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Leslie Alaine Harmel
LA HARMEL, LESLIE A HARMEL, Leslie Harmel
CRD#: 2836310
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3508 OAKWOOD MALL DR
EAU CLAIRE, WI 54701
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2018 - 2022 (3 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2018 - 2018 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - 2017 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2009 (<1 year)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2008 - 2009 (1 year)BLASALLE FINANCIAL SERVICES, INC. (CRD# 20373)2006 - 2008 (2 years)BABN AMRO INCORPORATED (CRD# 15776)2006 - 2007 (1 year)BPEREGRINE FINANCIALS & SECURIT... (CRD# 43992)2003 - 2004 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 2001 (2 years)IARBC CAPITAL MARKETS, LLC (CRD# 31194)2022 - 2022 (<1 year)
License(s)

State Registrations

B
Wisconsin 6/28/2022

IA
Wisconsin 6/28/2022

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3508 OAKWOOD MALL DR, EAU CLAIRE, WI 54701
Chetek, WI
Registered with this firm since 6/28/2022

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3508 OAKWOOD MALL DR, EAU CLAIRE, WI 54701
Chetek, WI
Registered with this firm since 6/28/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/18/2022 - 07/06/2022 RBC CAPITAL MARKETS, LLC (CRD#:31194) MINNEAPOLIS, MN
B
08/16/2018 - 07/06/2022 RBC CAPITAL MARKETS, LLC (CRD#:31194) MINNEAPOLIS, MN
B
01/08/2018 - 08/20/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Minneapolis, MN
B
05/13/2016 - 12/22/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
10/23/2009 - 12/01/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
03/18/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
03/13/2006 - 03/18/2008 LASALLE FINANCIAL SERVICES, INC. (CRD#:20373) CHICAGO, IL
B
07/20/2006 - 10/03/2007 ABN AMRO INCORPORATED (CRD#:15776) STAMFORD, CT
B
06/10/2003 - 05/25/2004 PEREGRINE FINANCIALS & SECURITIES, INC. (CRD#:43992) CHICAGO, IL
B
05/13/1999 - 06/28/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.