Randy H. Leclair

ZACKS INVESTMENT MANAGEMENT

Charlotte, NC

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CRD#: 1997396

Professional summary

Randy Herman Leclair is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Charlotte, North Carolina and LBMZ SECURITIES, INC. located in Chicago, Illinois.

Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Randy has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Herman Leclair'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

November 10, 2006 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

Charlotte, NC

Current

November 22, 2006 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606-1705

CRD#: 7874

CHICAGO, IL

Past

January 23, 2006 - November 14, 2006

OPTSECURITIES, LLC

CRD#: 47529

CHARLOTTE, NC

Past

November 22, 2005 - November 14, 2006

OPTSECURITIES, LLC

RIA

CRD#: 47529

CHARLOTTE, NC

Past

December 31, 2001 - November 14, 2005

FISHER INVESTMENTS

RIA

CRD#: 107342

CHARLOTTE, NC

Past

November 9, 2001 - November 4, 2002

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

July 2, 1998 - December 7, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 29, 1998 - December 7, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

April 29, 1994 - June 30, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

January 25, 1993 - May 2, 1994

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

December 1, 1989 - December 11, 1990

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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

North Carolina
(11/10/2006)

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

IAR

Series 65

Date: 3/10/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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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Firm Stability Insights

Randy H. Leclair

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Herman Leclair's CRS (Customer Relationship Summary).

Certified licenses

Experience

LBMZ SECURITIES, INC.

OPTSECURITIES, LLC

OPTSECURITIES, LLC

FISHER INVESTMENTS

QUASAR DISTRIBUTORS, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/1995

Series 63

Date: 11/14/1989

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1989

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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