Inactive

Leslie Ann Manuel Gutierrez

Clifford Swan Investment Counselors

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Current Employers

Clifford Swan Investment Counselors

177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-04-15

CA RA
APPROVED

Since 2025-04-15

Branch Locations

177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Pasadena	CA	09/2013	Present

09/2013 → Present

Ubs Financial Services Inc

Pasadena, CA

Previous Registrations

2013-09-26 → 2025-04-17

Ubs Financial Services Inc.

Pasadena, CA

Duarte, CA
2012-10-05 → 2013-09-16

Wells Fargo Clearing Services, Llc

Beverly Hills, CA
2008-11-04 → 2012-10-02

Ubs Financial Services Inc.

Los Angeles, CA
2007-06-28 → 2008-11-12

Citigroup Global Markets Inc.

Los Angeles, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-06-22

S66 Uniform Combined State Law Examination

2007-06-22

Other Names

Leslie Ann Baon Manuel
Leslie Ann Manuel

View on SEC IAPD

Other Firms

CMR CAPITAL MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STRATEGY ASSET MANAGERS L.L.C.

MML INVESTORS SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

NASDAQ DORSEY WRIGHT

U.S. BANCORP ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

CHRISTOPHER LEU

JAY EDWIN LOMETILLO

Salvador Rodriguez

Angel Kam Fung Chen

Jaymie BRIAN Wetzel

ALISA JANE CHANPONG

HEIDI PUI WA LEU

Mui Fan CHAN Graca

Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA

STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA

MML INVESTORS SERVICES, LLC · Pasadena, CA

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA

NASDAQ DORSEY WRIGHT · Pasadena, CA

U.S. BANCORP ADVISORS, LLC · Pasadena, CA

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

More in Pasadena, CA

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