Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leslie? Claim Your ProfileLeslie Steven Franks is a financial advisor with UBS Securities LLC. Leslie has been in the financial industry since August 3, 1996. Leslie is registered to sell securities in 52 states, as well as the District of Columbia and Puerto Rico. Leslie is Series 7, Series 63 and Series 79TO licensed. Leslie has previously worked at Salomon Smith Barney Inc., Dean Witter Reynolds Inc., Salomon Brothers Inc., BANC of America Securities LLC, and Thomas Weisel Partners LLC.
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.
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.
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2
NY
11/19/2009 - Present
UBS Securities LLC (New York NY)
NY
06/03/2009 - 10/12/2009
THOMAS WEISEL PARTNERS LLC (NEW YORK NY)
NY
07/11/2001 - 05/04/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
03/29/1999 - 03/27/2000
WARBURG DILLON READ LLC (NEW YORK NY)
NY
09/05/1995 - 03/16/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
11/28/1997 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NY
08/02/1993 - 03/03/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 11/05/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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