Lee A. Fickes

PROFESSIONAL ANALYSTS

BAY CITY, MI 48706

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CRD#: 207148

Professional summary

Lee Allan Fickes, who also goes by Lee A Fickes, is a registered financial advisor currently at PROFESSIONAL ANALYSTS, LLC located in Bay City, Michigan and OSAIC WEALTH, INC. located in Bay City, Michigan.

Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Lee has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 22 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lee A Fickes

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.

1. PAI TAX SERVICE; NOT INVESTMENT RELATED; 2370 DELTA RD, BAY CITY, MI; TAX PREPARATION; OWNER/PRESIDENT; 1/1990-PRESENT; 10HRS/WK; 0HRS/DAY; COMPENSATED BY CHECK; PREPARE TAXES 2. PROFESSIONAL ANALYSTS, LLC; INVESTMENT RELATED; 2370 DELTA ROAD, BAY CITY, MI 48706; FINANCIAL PLANNING/ASSET MANAGEMENT; PLANNER, COMPLIANCE OFFICER; 1.2008; 320 HRS/MO; 6HRS/DAY; COMPENSATED BY CHECK; REGISTERED INVESTMENT ADVISOR; 3. VARIOUS INSURANCE COMPANIES; NOT INVESTMENT RELATED; 2370 DELTA RD, BAY CITY MI; INSURANCE; REPRESENTATIVE; 3 HRS/MO; 0HRS/DAY; COMPANESATION THROUGH COMMISSIONS CHECK; SELL PRODUCTS 4. OWN AND RENT OFFICE BUILDING LOCATED AT 2370 DELTA RD BAY CITY, MI 48706; 2006 TO PRESENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Allan Fickes'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®

None

Experience

Current

August 25, 2010 - Present

PROFESSIONAL ANALYSTS, LLC

Office #1: 2370 Delta Rd, Bay City, MI 48706

RIA

CRD#: 124805

BAY CITY, MI

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2370 Delta Rd., Bay City, MI 48706

RIA

CRD#: 23131

BAY CITY, MI

Past

August 20, 2002 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

BAY CITY, MI

Past

October 20, 1980 - September 18, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 9, 1970 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

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.

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

Florida
(8/23/2024)

Illinois
(12/26/2024)

Iowa
(8/23/2024)

IAR

Michigan
(8/25/2010)

Michigan
(8/23/2024)

Pennsylvania
(8/23/2024)

Texas
(8/23/2024)

Virginia
(8/23/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 10/1/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 1

Date: 6/25/1970

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

PROFESSIONAL ANALYSTS, LLC

CRD#: 124805 / SEC#: 801-62693

RIA

Registered Investment Advisory firm - (4/7/2010 Terminated)

Michigan

Registered Investment Advisory firm - (7/16/1986 Approved)

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).

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Contact information

Main Address

2370 Delta Rd., Bay City, MI 48706-9340

Mailing Address

Phone number

(989) 922-5564

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	62
AUM (Assets Under Management)	$ 30,148,318

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Lee A. Fickes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Allan Fickes's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

State Registrations and Notice Filings

Exams

Series 63

Date: 4/23/1984

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 22

Date: 10/1/1984

Series 1

Date: 6/25/1970

FINRA

Current Firm

PROFESSIONAL ANALYSTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL ANALYSTS, LLC

TRUST BUT VERIFY

Contact information

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