AdFi
LM

Leslie Moise

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

Charlotte, NCCRD #2755904Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
13 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 13 states
ArkansasCaliforniaFloridaIdahoIllinoisMarylandNew YorkNorth CarolinaNorth DakotaOhioPennsylvaniaTexasVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/20/2023
Series 63
Uniform Securities Agent State Law Examination
Passed 1/7/2012
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 12/20/2011
Series 24
General Securities Principal Examination
Passed 9/26/2016

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $249,0003.00%
$250,000 - $749,9992.50%
$750,000 - $1,499,9992.00%
$1,500,000 - $4,999,9991.75%
$5,000,000 and over1.50%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Arete Wealth Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ARETE WEALTH ADVISORS, LLCCurrent
12/20/2023Charlotte, NC
NATIONAL SECURITIES CORPORATION
12/21/20117/21/2022Charlotte, NC
WILMINGTON CAPITAL SECURITIES, LLC
12/17/201312/19/2013Melville, NY
LADENBURG CAPITAL MANAGEMENT INC.
6/19/199610/28/2002Bethpage, NY

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at ARETE WEALTH ADVISORS, LLC

Showing 12 of 141 in the directory

View ARETE WEALTH ADVISORS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Leslie Moise has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Leslie Moise - Financial Advisor in Charlotte, NC | AdvisorFinder