LS
LS
Leslie Smith is a registered investment advisor, based in Syracuse, NY, with 34 years of industry experience.
Location
Syracuse, NY
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Regulatory History (3)
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Judgment / Lien
September 2024Customer Dispute
January 1994Award / Judgment
Criminal
January 1991Final Disposition
Other Business ActivitiesSells Insurance
Leslie is an insurance agent with Avantax Insurance Agency/Services since 2017, spending about half of her time on this. She also works full-time at Avalon, providing printing, cybersecurity, and document management services, with some time dedicated to securities trading.
Employment History
Current Registrations
Cetera Wealth Services, LLC
September 2025 - Present · 10 mos
Cetera Investment Advisers LLC
September 2025 - Present · 10 mos
Cetera Wealth Services, LLCBroker
September 2025 - Present · 10 mos
Previous Registrations
Avantax Advisory Services
August 2021 - September 2025 · 4 yrs 1 mo
Avantax Investment Services, INC.Broker
June 2017 - September 2025 · 8 yrs 3 mos
Cadaret, Grant & CO., INC.Broker
May 2004 - June 2017 · 13 yrs 1 mo
First Security Investments, INC.Broker
January 1998 - May 2004 · 6 yrs 4 mos
Cadaret, Grant & CO., INC.Broker
January 1994 - June 1997 · 3 yrs 5 mos
Corporate Securities Group, INC.Broker
January 1993 - September 1993 · 8 mos
Chatfield Dean & CO., INC.Broker
May 1991 - December 1992 · 1 yr 7 mos
Investors Center, INC.Broker
August 1988 - February 1989 · 6 mos
State Registrations3 states
CAFLNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.