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Leslie Alaine Harmel

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jersey City, NJ

Eau Claire, WI

Chetek, WI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-06-28
  • WI RA
    APPROVED
    Since 2022-06-28

Branch Locations

525 Washington Blvd Central Business Review Unit, Jersey City, NJ 07310 • United States

3508 Oakwood Mall Dr, Eau Claire, WI 54701 • United States

Chetek, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services Inc Minneapolis MN 12/2017 08/2018
Rbc Capital Markets, Llc. Minneapolis MN 08/2018 05/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Eau Claire WI 06/2022 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 08/2012 12/2017
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-16
S63 Uniform Securities Agent State Law Examination 2003-07-22
  • S66 Uniform Combined State Law Examination
    2022-04-16
  • S63 Uniform Securities Agent State Law Examination
    2003-07-22
Other Names
  • Leslie A Harmel
  • Leslie Alaine Harmel
  • Leslie Harmel
  • La Harmel

View on SEC IAPD

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MORGAN STANLEY INVESTMENT MANAGEMENT INC. · NEW YORK, NY
MSRESS III MANAGER, L.L.C. · NEW YORK, NY
MS CAPITAL PARTNERS ADVISER INC. · NEW YORK, NY
MORGAN STANLEY INFRASTRUCTURE INC. · NEW YORK, NY
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. · NEW YORK, NY
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MORGAN STANLEY REAL ESTATE ADVISOR, INC. · NEW YORK, NY
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