Leslie Thoms is a registered investment advisor, based in Greenwood Village, CO, with 6 years of industry experience.
Location
8515 East Orchard Rd 4T2, Greenwood Village, CO, 80111
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Empower Financial Services, INC.
November 2024 - Present · 1 yr 10 mos
Empower Financial Services, INC.Broker
November 2024 - Present · 1 yr 10 mos
Empower Advisory Group, LLC
November 2024 - Present · 1 yr 10 mos
Previous Registrations
Morgan Stanley
March 2023 - April 2024 · 1 yr 1 mo
Morgan StanleyBroker
January 2023 - April 2024 · 1 yr 3 mos
E*trade Capital Management, LLC
September 2020 - March 2023 · 2 yrs 6 mos
E*trade Securities LLCBroker
April 2019 - March 2023 · 3 yrs 11 mos
State Registrations45 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.