Pamela A. Lesher
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.
Pamela Anthony Lesher, who also goes by Pam Lesher, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1988. Pamela had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2018 - July 19, 2024
CETERA INVESTMENT ADVISERS LLC
January 2, 2018 - July 19, 2024
CETERA INVESTMENT SERVICES LLC
November 9, 2011 - December 31, 2017
INVEST FINANCIAL CORPORATION
November 2, 2011 - December 31, 2017
INVEST FINANCIAL CORPORATION
November 18, 2004 - December 31, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
November 12, 2004 - November 4, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
June 8, 2000 - November 24, 2004
LPL FINANCIAL LLC
June 7, 2000 - November 24, 2004
LPL FINANCIAL LLC
May 6, 1999 - April 11, 2000
REGIONS INVESTMENT COMPANY, INC.
February 4, 1999 - May 1, 1999
INVEST FINANCIAL CORPORATION
August 20, 1997 - February 11, 1999
FASCO INTERNATIONAL, INC.
October 18, 1996 - September 4, 1997
BARNETT INVESTMENTS, INC.
July 2, 1994 - March 26, 1996
ALLSTATE FINANCIAL SERVICES, LLC
May 14, 1991 - June 14, 1994
INVEST FINANCIAL CORPORATION
November 1, 1989 - May 14, 1991
MONY SECURITIES CORPORATION
January 31, 1989 - November 9, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
November 1, 1988 - February 22, 1989
IDS LIFE INSURANCE COMPANY
November 1, 1988 - February 22, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
June 8, 1988 - February 4, 1989
PFS INVESTMENTS INC.
February 17, 1988 - July 5, 1988
TRIPLE CHECK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
