LESLIE GALE ADVISORS, LLC is an SEC-registered investment adviser (CRD 168550). Regulatory assets under management: $73.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Steven A Schneider | MEMBER PARTNER AND CHIEF COMPLIANCE OFFICER | — |
| Leslie Gale Martin | EQUITY LIMITED PARTNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-04-18 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, RESPONDENTS CONSENTED TO ENTRY OF A CEASE AND DESIST ORDER ENTERED ON FINDING, AMONG OTHER THINGS, THAT THE RESPONDENT LESLIE GALE VIOLATED SECTION 517.12(13) OF THE FLORIDA STATUTES, RULE 69W-600.001(2), AND RULE 69W-600.0016(3); RESPONDENTS LESLIE GALE AN… | Final | $11K |