Richard Lessirard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Lessirard was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - January 30, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 18, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
October 19, 2012 - January 7, 2020
FIDELITY BROKERAGE SERVICES LLC
February 10, 2010 - January 9, 2012
FORESIDE FUND SERVICES, LLC
May 14, 2008 - February 1, 2010
TRANSAMERICA CAPITAL, LLC
April 14, 2008 - May 15, 2008
PROVASI CAPITAL PARTNERS LP
August 2, 1993 - February 29, 2008
MFS FUND DISTRIBUTORS, INC.
July 26, 1990 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
January 12, 1988 - July 23, 1990
EQUITEC SECURITIES COMPANY
January 7, 1985 - January 30, 1988
PRUDENTIAL EQUITY GROUP, LLC
May 8, 1984 - January 18, 1985
RICHARDSON GREENSHIELDS SECURITIES INC.
January 25, 1984 - May 1, 1984
HALPERT AND COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
