JL
John B. Lessley
DFA SECURITIES LLC
Santa Monica, CA 90401
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CRD#: 1177034
JL
Professional summary
John Benjamin Lessley is a registered financial professional currently at DFA SECURITIES LLC located in Santa Monica, California.
John is registered as a RR (Registered Representative) and started their career in finance in 1984. John has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view John Benjamin Lessley's 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®
NoneExperience
Current
February 5, 2008 - Present
DFA SECURITIES LLC
Office #1: 1299 Ocean Avenue, Santa Monica, CA 90401BD
CRD#: 10292
Santa Monica, CA
Past
August 5, 2002 - February 12, 2008
TCW FUNDS DISTRIBUTORS LLC
BD
CRD#: 16670
LOS ANGELES, CA
Past
September 13, 1991 - June 12, 2002
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
February 22, 1990 - August 16, 1991
GLENFED BROKERAGE SERVICES
BD
CRD#: 13648
GLENDALE, CA
Past
June 13, 1989 - February 22, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
December 16, 1988 - May 20, 1989
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
November 23, 1987 - December 19, 1988
GFC SECURITIES CORPORATION
BD
CRD#: 10665
Past
September 12, 1984 - November 9, 1987
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
January 25, 1984 - April 30, 1984
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/2/2019)
RR
Alaska(8/2/2019)
RR
Arizona(7/11/2008)
RR
Arkansas(8/2/2019)
RR
California(2/5/2008)
RR
Colorado(7/11/2008)
RR
Connecticut(8/2/2019)
RR
Delaware(8/2/2019)
RR
District of Columbia(8/2/2019)
RR
Florida(8/2/2019)
RR
Georgia(8/2/2019)
RR
Hawaii(11/15/2018)
RR
Idaho(7/11/2008)
RR
Illinois(2/5/2008)
RR
Indiana(8/2/2019)
RR
Iowa(8/2/2019)
RR
Kansas(10/6/2011)
RR
Kentucky(8/2/2019)
RR
Louisiana(8/2/2019)
RR
Maine(8/2/2019)
RR
Maryland(8/2/2019)
RR
Massachusetts(8/2/2019)
RR
Michigan(7/11/2008)
RR
Minnesota(7/11/2008)
RR
Mississippi(8/2/2019)
RR
Missouri(2/5/2008)
RR
Montana(11/15/2018)
RR
Nebraska(11/15/2018)
RR
Nevada(7/11/2008)
RR
New Hampshire(8/2/2019)
RR
New Jersey(8/2/2019)
RR
New Mexico(7/11/2008)
RR
New York(8/2/2019)
RR
North Carolina(8/2/2019)
RR
North Dakota(8/2/2019)
RR
Ohio(8/2/2019)
RR
Oklahoma(8/2/2019)
RR
Oregon(2/5/2008)
RR
Pennsylvania(8/2/2019)
RR
Rhode Island(8/2/2019)
RR
South Carolina(8/2/2019)
RR
South Dakota(7/11/2008)
RR
Tennessee(8/2/2019)
RR
Texas(2/5/2008)
RR
Utah(7/11/2008)
RR
Vermont(8/2/2019)
RR
Virginia(8/2/2019)
RR
Washington(2/5/2008)
RR
West Virginia(8/2/2019)
RR
Wisconsin(7/11/2008)
RR
Wyoming(11/15/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DFA SECURITIES LLC
DFA SECURITIES INC. | DFA SECURITIES LLC
CRD#: 10292 / SEC#: , 8-27006
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
6300 Bee Cave Road Building One, Austin, TX 78746
Mailing Address
6300 Bee Cave Road Building One, Austin, TX 78746
Phone number
(512) 306-7400
Established
Delaware since 04/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | DELAWARE LP AND SOLE MEMBER OF DFAS | |
| BOOTH, DAVID GILBERT | CHAIRMAN | 1031000 |
| BUTLER, DAVID PAUL | CO-CHIEF EXECUTIVE OFFICER | 2305298 |
| DALLMER, LISA MICHELE | CHIEF OPERATING OFFICER | 2586913 |
| GRZELAK, BERNARD JAMES | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER | 4285750 |
| NEWELL, CATHERINE LEE | VICE PRESIDENT AND SECRETARY | 2890628 |
| NOTELOVITZ, SELWYN JUSTIN | GLOBAL CHIEF COMPLIANCE OFFICER | 2886676 |
| O'REILLY, GERARD KIERAN | CO-CHIEF EXECUTIVE OFFICER AND CO-CIO | 4982644 |
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.
