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Leslie Gail Stephenson

LPl Financial LLC

Dallas, TX

Dallas, TX

Dallas, TX

CRD 6304923

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-05-18
  • TX RA
    APPROVED
    Since 2022-05-18

Branch Locations

Dallas, TX • United States

14241 Dallas Parkway Ste 610, Plaza 3, Dallas, TX 75254 • United States

14241 Dallas Pkwy, Ste 610, Dallas, TX 75254 • 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
Oppenheimer & Co. Inc Dallas TX 02/2016 05/2022
Lpl Financial Llc Dallas TX 05/2022 Present
Previous Registrations
Other Businesses

1) 5/2022- Leslie Stephenson - notary- inv. related- Dallas, TX- start date 07/2021- 1hr/mth

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-08-13
S65 Uniform Investment Adviser Law Examination 2014-02-07
  • S63 Uniform Securities Agent State Law Examination
    2016-08-13
  • S65 Uniform Investment Adviser Law Examination
    2014-02-07

View on SEC IAPD

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