Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leslie? Claim Your ProfileLeslie Harmel is a financial advisor with over 16 years of experience in the financial services industry. Leslie is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Leslie has also held positions with RBC Capital Markets, LLC, Ameriprise Financial Services, Inc., and BANC of AMERICA INVESTMENT SERVICES, INC. Leslie is a Series 7, Series 63, Series 66, Series 10, Series 4, Series 24, and Series 53 licensed professional and has a wide range of experience in financial planning, investment management, and retirement planning. Leslie is also a Registered Principal with Merrill Lynch, Pierce, Fenner & Smith Inc.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
WI
06/28/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EAU CLAIRE WI)
MN
08/16/2018 - 07/06/2022
RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)
MN
01/08/2018 - 08/20/2018
AMERIPRISE FINANCIAL SERVICES, INC. (Minneapolis MN)
NY
05/13/2016 - 12/22/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/23/2009 - 12/01/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
03/18/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
IL
03/13/2006 - 03/18/2008
LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)
CT
07/20/2006 - 10/03/2007
ABN AMRO INCORPORATED (STAMFORD CT)
IL
06/10/2003 - 05/25/2004
PEREGRINE FINANCIALS & SECURITIES, INC. (CHICAGO IL)
NY
05/13/1999 - 06/28/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 04/16/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/22/2022
Series 4 - Registered Options Principal Examination
BC
Issued 09/18/2017
Series 24 - General Securities Principal Examination
BC
Issued 05/26/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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