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Detailed Report
RICHARD LEISHMAN
RICHARD NEIL LEISHMAN
CRD#: 2954591
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 URBANA, MD
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2006 (3 years)2 FIRMS2006 - 2011 (4 years)2 FIRMS2012 - 2023 (10 years)2 FIRMS2023 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2003 (5 years)IAMORGAN STANLEY (CRD# 7556)1999 - 2003 (4 years)
License(s)

State Registrations

B
Arkansas 11/26/2024
B
Massachusetts 4/18/2023
B
District of Columbia 4/18/2023
B
Utah 4/18/2023
B
Maryland 4/18/2023
B
Virginia 4/18/2023
IA
Maryland 6/18/2024
IA
Virginia 4/19/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
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
WELLS FARGO ADVISORS (CRD#:19616)
URBANA, MD
1650 TYSONS BLVD STE 500, MCLEAN, VA 22102
Registered with this firm since 4/19/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
URBANA, MD
1650 TYSONS BLVD STE 500, MCLEAN, VA 22102
Registered with this firm since 4/18/2023
Previous Registration(s)
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IA
 06/22/2012 - 04/19/2023 MORGAN STANLEY (CRD#:149777) Rockville, MD
B
 06/26/2012 - 04/19/2023 MORGAN STANLEY (CRD#:149777) Rockville, MD
IA
 08/31/2006 - 06/08/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) BETHESDA, MD
B
 08/31/2006 - 06/08/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) WASHINGTON, DC
IA
 04/16/2003 - 08/08/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHEVY CHASE, MD
B
 04/16/2003 - 08/08/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHEVY CHASE, MD
IA
 01/01/1999 - 03/31/2003 MORGAN STANLEY (CRD#:7556) CHEVY CHASE, MD
B
 11/28/1997 - 03/31/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.