Lesli Harlan is a qualified professional, who works in M Capital Advisors main office of which is in 150. on the position of Compliance from 2018. Lesli gained professional experience in more than four positions at various companies. Lesli Harlan went to the The University of Georgia and was studying from 1997 to 2000. This person has professional qualifications: Series 6, 7, 24, 63, 65 and Financial Industry Regulatory Authority (Finra). Nashville, Tennessee is the city, where this professional was known to live. Their phone number and email are accessed through this website on demand.
Name variants:
Lesli Harlan
Contact Information
Last Update
Jul 6, 2022
Email
lh**@cpftexas.com
Location
Nashville, TN
Company
M Capital Advisors
Workplace
Compliance
Work History
Operations and Compliance Officer
150 3Rd Ave south SUITE 900, Nashville, TN 37201
from Jan 2019
Registered Administrative Assistant
4707 Executive Dr, San Diego, CA 92121
Series 6, 7, 63, and 65 Efficiently maintain compliance files, policies, and act as liaison during compliance audits Organized client files, created improved workflow process for specialty p...
Mar 2006 — Apr 2018
Chief Compliance Officer
2500 Dallas Pkwy SUITE 495, Plano, TX 75093
Series 6, 7, 24, 63, and 65 held with LPL Financial and 65 held with CPF Texas.
Chief Compliance Officer for registered investment advisor (RIA) firm in Plano, TX whose wealth advisors cle...
Jan 2015 — Apr 2018
Education
1997 — 2000
1996 — 1997
Occupations
Compliance Officer
Accountant
Bank Examiner
Executive
Director of Quality Control
Finance and Accounting Specialist
Financial Compliance Examiner
Auditor
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Skills
Risk Management
Compliance
Orion Advisor
Salesforce
Emoney Advisor
Branchnet
Mac Based Software
Riskalyze
Spanish Speaking
Daylite
Folio
Asi
Redtail
FAQs about Lesli Harlan
What's the main profession of Lesli Harlan?
The expert is a Operations and Compliance Officer.
What jobs is Lesli a professional at?
Lesli Harlan is proficient at such jobs as Compliance Officer.
Where does Lesli Harlan currently live?
They currently lives in Nashville, Tennessee.
What is Lesli's email?
The expert's email is lh**@cpftexas.com.
How many companies did Lesli Harlan work at?
Lesli Harlan worked at four jobs.
What education does Lesli Harlan have?
Lesli studied at the University of Georgia from 1997 to 2000.
What are the certifications of Lesli Harlan?
Lesli Harlan received the following certifications: Series 6, 7, 24, 63, 65 and Financial Industry Regulatory Authority (Finra).
What languages does Lesli Harlan speak?
Lesli Harlan speaks Spanish.