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Leslie Davis Mcmullen

Maia Wealth

Denver, CO

Denver, CO

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Current Employers
Maia Wealth

1331 17Th Street Suite 800, Denver, CO 80202 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-03-06
CO RA APPROVED 2021-05-10
  • TX RA
    APPROVED_RES
    Since 2023-03-06
  • CO RA
    APPROVED
    Since 2021-05-10

Branch Locations

1401 17Th Street Suite 850, Denver, CO 80202 • United States

1331 17Th Street Suite 800, Denver, CO 80202 • 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
National Planning Corporation Denver CO 07/2007 11/2017
Trilogy Financial Services Denver CO 07/2007 05/2021
Trilogy Capital, Inc. Denver CO 11/2015 05/2021
Lpl Financial Llc Denver CO 11/2017 05/2021
Maia Wealth Denver CO 05/2021 Present
  • 07/2007 → 11/2017
    National Planning Corporation
    Denver, CO
  • 07/2007 → 05/2021
    Trilogy Financial Services
    Denver, CO
  • 11/2015 → 05/2021
    Trilogy Capital, Inc.
    Denver, CO
  • 11/2017 → 05/2021
    Lpl Financial Llc
    Denver, CO
  • 05/2021 → Present
    Maia Wealth
    Denver, CO
Previous Registrations
  • 2015-11-23 → 2021-05-13
    Trilogy Capital, Inc.
    Denver, CO
    Irvine, CA
  • 2008-01-08 → 2016-12-31
    National Planning Corporation
    Denver, CO
    Los Angeles, CA
Other Businesses

INSURANCE AGENT. VARIOUS CARRIERS. NOT INVESTMENT RELATED. TRADING HOURS TIME SPENT= 15 HOURS PER MONTH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-09
S63 Uniform Securities Agent State Law Examination 2007-09-08
  • S65 Uniform Investment Adviser Law Examination
    2007-11-09
  • S63 Uniform Securities Agent State Law Examination
    2007-09-08
Other Names
  • Les Mcmullen
  • Leslie Mcmullen

View on SEC IAPD

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MORGAN STANLEY
CETERA INVESTMENT ADVISERS LLC
DREAM U.S. MANAGER LLC
KSL CAPITAL PARTNERS
CIBC PRIVATE WEALTH ADVISORS, INC.
RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

TRISHA RENEA MINGO
Nicholas Dean Phillips
Andrea Saenz
STEVEN SEARES MURRAY
ANGELA LEACH PIZZICHINI
TANISHA MARIE SIMON
BRET ALLEN ROBERTS
NICHOLAS MICHAEL YIP

Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO

More in Denver, CO

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