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Leslie L Little
LESLIE LYN GARDNER, LESLIE LYN LITTLE
CRD#: 2886719
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J.P. MORGAN SECURITIES LLCCRD#: 79 6155 N Scottsdale Rd, Floor 1
Scottsdale, AZ 85250
Scottsdale, AZ 85250
View By:
8/12/2013
Customer Dispute
Denied
State Registrations
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Alabama 11/19/2024
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Montana 10/1/2012
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Arizona 10/1/2012
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Nebraska 11/19/2024
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Arizona 10/1/2012
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Nevada 10/1/2012
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Arkansas 10/20/2021
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New Jersey 10/1/2012
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California 10/1/2012
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New Mexico 10/1/2012
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Colorado 10/1/2012
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New York 10/1/2012
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Connecticut 11/19/2024
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North Carolina 10/4/2016
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Delaware 10/1/2012
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Ohio 10/1/2012
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Florida 1/30/2020
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Oklahoma 4/17/2014
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Georgia 6/24/2024
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Oregon 1/4/2013
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Hawaii 8/6/2013
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Pennsylvania 10/1/2012
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Idaho 3/26/2021
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South Carolina 10/6/2016
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Illinois 10/1/2012
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South Dakota 8/24/2016
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Indiana 2/13/2024
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Tennessee 11/9/2016
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Iowa 7/17/2023
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Texas 10/1/2012
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Kansas 9/17/2020
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Texas 8/19/2013
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Louisiana 10/1/2012
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Vermont 11/19/2024
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Maryland 11/10/2017
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Virginia 10/1/2012
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Massachusetts 4/28/2021
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Washington 1/29/2013
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Michigan 10/1/2012
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Wisconsin 10/1/2012
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Minnesota 11/19/2024
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Wyoming 8/5/2024
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Missouri 10/25/2017
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/06/2005 - 10/01/2012 | SCOTTSDALE, AZ | |
B | 07/06/2005 - 10/01/2012 | SCOTTSDALE, AZ | |
IA | 01/28/2005 - 07/06/2005 | SCOTTSDALE, AZ | |
B | 01/18/2005 - 07/06/2005 | CHICAGO, IL | |
IA | 08/20/1999 - 12/02/2004 | SCOTTSDALE, AZ | |
B | 08/20/1999 - 12/02/2004 | WEEHAWKEN, NJ | |
B | 01/30/1998 - 08/24/1999 | NEW YORK, NY | |
B | 06/18/1997 - 12/12/1997 | MALVERN, PA |
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.