Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leslie? Claim Your ProfileLeslie Ashton is a registered investment advisor and securities representative with over 25 years of experience in the financial services industry. Leslie is currently registered with Wells Fargo Clearing Services, LLC and previously worked with firms such as BANCWEST INVESTMENT SERVICES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and U.S. BANCORP INVESTMENTS, INC. Leslie holds the Series 6, 7, 63, and 65 licenses as well as the SIE.
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.
1
2
UT
05/24/2018 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
UT
09/16/2014 - 06/04/2018
BANCWEST INVESTMENT SERVICES, INC. (SALT LAKE CITY UT)
CA
10/04/2012 - 04/02/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
UT
01/20/2011 - 03/06/2012
U.S. BANCORP INVESTMENTS, INC. (SALT LAKE CITY UT)
TX
02/15/2000 - 02/11/2009
VAN KAMPEN FUNDS INC. (HOUSTON TX)
NY
02/13/2004 - 04/22/2008
MORGAN STANLEY DISTRIBUTION, INC. (NEW YORK NY)
UT
04/01/1998 - 03/02/2000
ZIONS INVESTMENT SECURITIES, INC. (SALT LAKE CITY UT)
NY
12/06/1995 - 04/15/1998
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MD
05/19/1995 - 10/23/1995
CHEVY CHASE SECURITIES, INC. (BETHESDA MD)
CA
11/26/1993 - 05/09/1995
CENTAURUS FINANCIAL, INC. (ANAHEIM CA)
CO
06/09/1993 - 09/21/1993
MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)
AZ
03/22/1993 - 04/22/1993
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 08/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1995
Series 7 - General Securities Representative Examination
BC
Issued 03/18/1993
Series 6 - Investment Company Products/Variable Contracts 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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