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Carrie Lee Fleisher

Other Names: Carrie Lee Wallace
Firm:
M Financial Securities Marketing, Inc.
Additional Firm:
M Holdings Securities, Inc.
VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO.
Type: Registered Representative
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Description

Carrie Fleisher a financial professional at M Financial Securities Marketing, Inc.. Carrie has held an industry securities registration for 18 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Carrie Lee Fleisher has not answered any questions on Financial Q&A.

Top Guides

Carrie Lee Fleisher has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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No client types listed.

Experience and Employment History

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Employer Years Dates
M Holdings Securities, Inc. 7 months, 3 weeks Oct 2012 - Present
M Holdings Securities, Inc. 11 years, 2 months Mar 2002 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
10/10/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Municipal Securities Principal Examination Series 53 05/30/2006
Registered Options Principal Examination Series 4 01/28/1993
General Securities Principal Examination Series 24 09/14/1992
Uniform Securities Agent State Law Examination Series 63 09/02/1988
General Securities Representative Examination Series 7 08/20/1988

Firm Compensation Arrangements

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No compensation arrangements listed.