Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leslie? Claim Your ProfileLeslie Fitzgerald is a financial advisor with over 20 years of experience in the industry. Leslie has been registered with UBS Financial Services Inc. since December 2016. Before that, Leslie was with Morgan Stanley Smith Barney from 2009 to 2017. Leslie has also worked with Citigroup Global Markets Inc. from 2003 to 2009 and Raymond James Financial Services, Inc. from 2000 to 2003. Leslie is a licensed Investment Advisor Representative in Texas and has a Series 63 and 65 license. Leslie specializes in providing financial planning, portfolio management and other advisory services to individuals, corporations, businesses, and other entities.
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.
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.
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.
See schedule d - miscellaneous
1
2
TX
12/23/2016 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
06/01/2009 - 01/03/2017
MORGAN STANLEY (HOUSTON TX)
TX
07/24/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
FL
10/31/2000 - 07/18/2003
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NY
06/17/1999 - 10/30/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
IA
Issued 10/19/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/30/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2011
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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