• 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.
LESLEA ELIZABETH STOCK-LOPEZ
LESLEA ELIZABETH CLEMENT, LESLEA ELIZABETH STOCK
CRD#: 4450179
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 2825 WILCREST DRIVE, SUITE 654
HOUSTON, TX 77042
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2005 (2 years)2 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - Present (6 years)BFEDERATED SECURITIES CORP. (CRD# 5009)2002 - 2002 (<1 year)
License(s)

State Registrations

B
Florida 3/21/2022

B
Pennsylvania 8/20/2018

IA
Florida 3/7/2024

B
Texas 8/20/2018

B
Georgia 8/20/2018

IA
Texas 8/20/2018

B
Louisiana 8/20/2018

B
Virginia 8/20/2018

B
Mississippi 3/21/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
2825 WILCREST DRIVE, SUITE 654, HOUSTON, TX 77042
Registered with this firm since 8/20/2018

B
LPL FINANCIAL LLC (CRD#:6413)
2825 WILCREST DRIVE, SUITE 654, HOUSTON, TX 77042
Registered with this firm since 8/20/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/03/2009 - 08/22/2018 B RILEY WEALTH MANAGEMENT (CRD#:2543) HOUSTON, TX
B
03/03/2009 - 08/22/2018 B. RILEY WEALTH MANAGEMENT (CRD#:2543) HOUSTON, TX
IA
04/11/2005 - 03/05/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
04/11/2005 - 03/05/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
IA
11/19/2002 - 04/20/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
11/19/2002 - 04/20/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
03/12/2002 - 10/30/2002 FEDERATED SECURITIES CORP. (CRD#:5009) PITTSBURGH, PA
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.