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Leslie L Little

J.P. Morgan Securities LLC

Scottsdale, AZ

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-08-19
AZ RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-08-19
  • AZ RA
    APPROVED
    Since 2012-10-01

Branch Locations

6155 N Scottsdale Rd, Floor 1, Scottsdale, AZ 85250 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Scottsdale AZ 10/2012 Present
Bcbs, Llc. Scottsdale AZ 05/2015 09/2018
Jpmorgan Chase Bank, Na. Scottsdale AZ 05/2010 Present
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    Scottsdale, AZ
  • 05/2015 → 09/2018
    Bcbs, Llc.
    Scottsdale, AZ
  • 05/2010 → Present
    Jpmorgan Chase Bank, Na.
    Scottsdale, AZ
Previous Registrations
  • 2005-07-06 → 2012-10-01
    Chase Investment Services Corp.
    Carefree, AZ
    Scottsdale, AZ
    Scottsdale, AZ
    Phoenix, AZ
    Chicago, IL
    Scottsdale, AZ
    Fountain Hills, AZ
  • 2005-01-28 → 2005-07-06
    Banc One Securities Corporation
    Scottsdale, AZ
  • 1999-08-20 → 2004-12-02
    Ubs Financial Services Inc.
    Scottsdale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-17
S63 Uniform Securities Agent State Law Examination 1997-05-08
  • S65 Uniform Investment Adviser Law Examination
    1998-02-17
  • S63 Uniform Securities Agent State Law Examination
    1997-05-08
Other Names
  • Leslie Lyn Little
  • Leslie Lyn Gardner
  • Leslie Lyn Little
  • Leslie Lyn Gardner

View on SEC IAPD

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MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
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PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
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