Lesa A. Sroufe

LESA SROUFE & COMPANY

SEATTLE, WA 98101

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CRD#: 1039743

Professional summary

Lesa Anne Sroufe MRS., who also goes by Lesa Anne Sroufe, is a registered financial advisor currently at LESA SROUFE & COMPANY, INC. located in Seattle, Washington.

Lesa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Lesa has worked at 3 firms and has passed the Series 63, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lesa Anne Sroufe

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lesa Anne Sroufe MRS.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 9, 2004 - Present

LESA SROUFE & COMPANY, INC.

Office #1: 1200 5th Avenue; Suite 1200, Seattle, WA 98101

RIA

CRD#: 130232

SEATTLE, WA

Past

December 20, 1988 - March 28, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

April 23, 1982 - February 23, 1989

FOSTER & MARSHALL INC.

CRD#: 321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LESA SROUFE & COMPANY, INC.

CRD#: 130232 / SEC#: 801-63880

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

California

Registered Investment Advisory firm - (1/27/2005 Terminated)

Idaho

Registered Investment Advisory firm - (1/27/2005 Terminated)

Washington

Registered Investment Advisory firm - (1/27/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(7/1/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/3/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 16

Date: 4/5/1986

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/18/1990

General Securities Principal Examination

Current Firm

LESA SROUFE & COMPANY, INC.

CRD#: 130232 / SEC#: 801-63880

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

California

Registered Investment Advisory firm - (1/27/2005 Terminated)

Idaho

Registered Investment Advisory firm - (1/27/2005 Terminated)

Washington

Registered Investment Advisory firm - (1/27/2005 Terminated)

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Contact information

Main Address

801 Second Ave Suite 304, Seattle, WA 98104

Mailing Address

Phone number

(206) 838-8383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A (3/31/2025)

FORM ADV, PART 2B SUPPLEMENTAL BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	233
AUM (Assets Under Management)	$ 158,570,363

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Lesa A. Sroufe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lesa Anne Sroufe MRS.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO INVESTMENTS, LLC

FOSTER & MARSHALL INC.

Primary Firm SEC Registration

LESA SROUFE & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/1982

Series 16

Date: 4/5/1986

Series 7

Date: 4/17/1982

Series 24

Date: 9/18/1990

Current Firm

LESA SROUFE & COMPANY, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LESA SROUFE & COMPANY, INC.

TRUST BUT VERIFY

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