Chad R. Lesnick
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.
Chad Richard Lesnick was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1991. Chad had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - April 27, 2017
CETERA INVESTMENT ADVISERS LLC
January 3, 2011 - April 27, 2017
CETERA FINANCIAL SPECIALISTS LLC
December 11, 1997 - January 3, 2011
CETERA WEALTH SERVICES, LLC
December 11, 1997 - January 3, 2011
CETERA WEALTH SERVICES, LLC
April 1, 1996 - December 18, 1997
VOYA FINANCIAL ADVISORS, INC.
February 25, 1991 - January 1, 1996
THE GREAT-WEST LIFE ASSURANCE COMPANY
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.
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