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Leslie Maria Figone

Morgan Stanley

San Jose, CA

CRD 4879598

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-12-03
CA RA APPROVED 2020-11-24
  • TX RA
    APPROVED
    Since 2020-12-03
  • CA RA
    APPROVED
    Since 2020-11-24

Branch Locations

225 West Santa Clara Street Suite 900, San Jose, CA 95113 • 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
Morgan Stanley San Jose CA 06/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-11-24
S63 Uniform Securities Agent State Law Examination 2019-06-27
  • S65 Uniform Investment Adviser Law Examination
    2020-11-24
  • S63 Uniform Securities Agent State Law Examination
    2019-06-27
Other Names
  • Leslie Maria Figone
  • Leslie Maria Bunge

View on SEC IAPD

Nearby Firms

J.P. MORGAN SECURITIES LLC
PFG ADVISORS
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Nearby Investors

Ryan Leiby
Adrian Baker
Bianca N. Cross

Nearby Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA

More in San Jose, CA

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