Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you L? Claim Your ProfileL Dennis Brokaw is a financial advisor with over 50 years of experience in the industry. Leslie is currently registered with Wells Fargo Clearing Services, LLC, and has been with the firm since 2016. Previously, L was employed with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc, A. G. Edwards & Sons, Inc, Sutro & Co. Incorporated, J. David Securities, Inc., Bache Halsey Stuart Shields Incorporated, Bache Halsey Stuart Inc., Loeb, Rhoades & Co. Inc., Shearson Hayden Stone Inc. and Dean Witter & Co. Incorporated. Leslie holds Series 7TO, SIE, PC and Series 1 licenses, and is registered in Alabama, Arizona, California, Delaware, Florida, Hawaii, Michigan, Montana, Nevada, New Jersey, Ohio, Oregon, Texas and Virginia. L provides financial planning, investment consulting services to institutional clients, pension consulting, selection of other advisers, portfolio management for businesses and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/14/2016 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
06/01/2009 - 09/09/2009
MORGAN STANLEY SMITH BARNEY (SAN DIEGO CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN DIEGO CA)
CA
08/29/2000 - 04/02/2007
MORGAN STANLEY DW INC. (SAN DIEGO CA)
MO
09/19/1995 - 08/29/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
CA
03/14/1984 - 09/22/1995
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
11/04/1981 - 03/27/1986
J. DAVID SECURITIES, INC.
NA
09/16/1977 - 09/21/1981
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
06/13/1977 - 09/16/1977
BACHE HALSEY STUART INC.
NA
01/17/1975 - 06/24/1977
LOEB, RHOADES & CO. INC.
NA
11/11/1971 - 02/11/1975
SHEARSON HAYDEN STONE INC.
NA
05/01/1971 - 11/08/1971
DEAN WITTER & CO. INCORPORATED
BC
Issued 05/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1985
PC - AMEX Put and Call Exam
BC
Issued 04/12/1971
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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