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Leslie Finn

Stonex Advisors INC.
31 Years of Experience
Birmingham, AL
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Leslie Finn is a registered investment advisor at Stonex Advisors INC., based in Birmingham, AL, with 31 years of industry experience. Leslie is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 9,843 clients with $5.1B in assets under management.

Stonex Advisors INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
233 advisors
Number of Clients
9,843 clients
Average Client Portfolio
$517K average
Assets Under Management
$5.1B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$200
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees are negotiated between the client and financial advisor up to a maximum annualized rate of 2.00% for standard assets and 1.50% for annuity allocations. Subject to a minimum annual fee of $200 or 0.10%, whichever is greater ($300 for Unified Managed Accounts). American Funds F2 platform has a separate tiered schedule of 0.80% and 0.55%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2 Perimeter Park South, Suite 500 West, Birmingham, AL, 35243

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History

Regulatory History (2)
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Criminal
July 1999
Final Disposition
Criminal
December 1984
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Leslie is an independent insurance agent selling life and accident insurance products since 2014. Leslie also works as a cashier at Hollywood Casino, spending nearly full-time hours there, including some time during market hours.

Employment History
Current Registrations
Stonex Advisors INC.
December 2019 - Present · 6 yrs 10 mos
Stonex Securities INC.Broker
December 2019 - Present · 6 yrs 10 mos
Previous Registrations
Quest Capital Strategies, INC.
June 2014 - December 2019 · 5 yrs 6 mos
Quest Capital Strategies, INC.Broker
June 2014 - December 2019 · 5 yrs 6 mos
Waddell & Reed
May 2013 - February 2014 · 9 mos
Waddell & Reed, INC.Broker
May 2013 - February 2014 · 9 mos
Quest Capital Strategies, INC.Broker
March 1995 - April 2013 · 18 yrs 1 mo
Montano Securities CorporationBroker
September 1994 - February 1995 · 5 mos
State Registrations3 states
INKYOH
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.
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