Leslie A Smith

Current Employers

Employment History

• 02/2005 → Present
  Coronado Financial Group, Llc
  San Mateo, CA
• 10/2005 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  San Mateo, CA

Previous Registrations

• 2005-10-31 → 2016-11-01
  Osaic Services, Inc.
  San Mateo, CA
• 2000-11-13 → 2005-10-31
  Sunamerica Securities, Inc.
  San Mateo, CA

Other Businesses

1. CORONADO FINANCIAL GROUP POSITION: Managing Member/Owner NATURE: Single Member LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 75 START DATE: 06/04/2004 ADDRESS: 894 Wharfside Rd, San Mateo CA 94404, United States DESCRIPTION: Financial Planning. Investment Advisor Representative for State Independent RIA utilizing the Osaic WMP platform 2. LESLIE A. SMITH POSITION: Other - Agent. NATURE: The income from this activity is paid to me as an agent. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 08/21/1989 ADDRESS: 894 Wharfside Rd, San Mateo CA 94404, United States DESCRIPTION: Provide annuities, life and disability insurance to clients, as agent. 3. CONSULTANT POSITION: Consultant NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 09/22/2023 ADDRESS: 894 Wharfside Rd, San Mateo Ca 94404 CA 94404, United States DESCRIPTION: Will provide general teaching, advice, consultation, and relevant information to the Board of Directors and Supervisory Committee to assist them in fulfilling their respective duties. These efforts are generally to assist with the understanding, reading, relevance of financial reports provided to the Board and Committee members. 4. HARBORTOWN HOA- BUDGET COMMITTEE POSITION: Finance Committee Member NATURE: This is strictly a non-profit Homeowners Association. The members of the Budget Committee serve the Treasurer of the HOA. The committee members only serve to advise and assist with the budget duties of the HOA Treasurer. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/16/2026 ADDRESS: Shoreline Dr, San Mateo CA 94404, United States DESCRIPTION: Review and analyze the annual HOA budget Make recommendations regarding financial controls, budget procedures, and accountability Review and analyze the monthly financial statements and bank reconciliations Research potential cost savings for operational expenditutes Review and analyze monthly financial statements and bank reconcilliations Review policies for collections to insure fair and consistent treatment to homeowners Review policies for HOA obligated repair to insure fair application across Homeowner community If needed collaborate with external auditors to conduct annual audits or reviews of the HOA financial records. Support the needs of the volunteer Treasurer in the scope of duties on an as needed basis

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-01
• S63 Uniform Securities Agent State Law Examination
  1984-03-16

Other Names

• Leslie A Smith
• Leslie Ann Smith