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Detailed Report
Leslie Ann Morgan
LESLIE ANN ANTHONY, LESLIE A. BEEKHUIZEN, LESLIE ANN BEEKHUIZEN, LESLIE A. MORGAN
CRD#: 4222441
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
Lone Tree, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (1 year)2 FIRMS2021 - Present (3 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2005 - 2020 (15 years)BAMERICAN CENTURY INVESTMENT SE... (CRD# 17437)2000 - 2004 (3 years)IAADVICE AND PLANNING SERVICES (CRD# 20472)2011 - 2020 (9 years)
License(s)

State Registrations

B
Alabama 9/9/2021
B
Nebraska 9/9/2021
B
Alaska 9/9/2021
B
Nevada 9/9/2021
B
Arizona 9/9/2021
B
New Hampshire 9/9/2021
B
Arkansas 9/9/2021
B
New Jersey 9/9/2021
B
California 9/9/2021
B
New Mexico 9/9/2021
B
Colorado 9/9/2021
B
New York 9/9/2021
IA
Colorado 9/9/2021
B
North Carolina 9/9/2021
B
Connecticut 9/9/2021
B
North Dakota 9/9/2021
B
Delaware 9/9/2021
B
Ohio 9/9/2021
B
District of Columbia 9/9/2021
B
Oklahoma 9/9/2021
B
Florida 9/9/2021
B
Oregon 9/9/2021
B
Georgia 9/9/2021
B
Pennsylvania 9/9/2021
B
Hawaii 9/9/2021
B
Puerto Rico 9/9/2021
B
Idaho 9/9/2021
B
Rhode Island 9/9/2021
B
Illinois 9/9/2021
B
South Carolina 9/9/2021
B
Indiana 9/9/2021
B
South Dakota 9/9/2021
B
Iowa 9/9/2021
B
Tennessee 9/9/2021
B
Kansas 9/9/2021
B
Texas 9/9/2021
B
Kentucky 9/9/2021
IA
Texas 9/10/2021
B
Louisiana 9/9/2021
B
Utah 9/9/2021
B
Maine 9/9/2021
B
Vermont 9/9/2021
B
Maryland 9/9/2021
B
Virgin Islands 9/9/2021
B
Massachusetts 9/9/2021
B
Virginia 9/9/2021
B
Michigan 9/9/2021
B
Washington 9/9/2021
B
Minnesota 9/9/2021
B
West Virginia 9/9/2021
B
Mississippi 9/9/2021
B
Wisconsin 9/9/2021
B
Missouri 9/9/2021
B
Wyoming 9/9/2021
B
Montana 9/9/2021

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)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 9/9/2021
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 9/9/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/20/2011 - 11/13/2020 ADVICE AND PLANNING SERVICES (CRD#:20472) DENVER, CO
B
 05/03/2005 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) DENVER, CO
IA
 03/02/2004 - 04/01/2005 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) LAKEWOOD, CO
B
 01/13/2004 - 04/01/2005 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) HOUSTON, TX
B
 10/31/2000 - 01/30/2004 AMERICAN CENTURY INVESTMENT SERVICES INC. (CRD#:17437) KANSAS CITY, MO
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.