Lesia A. Marshek
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.
Lesia Ann Marshek, who also goes by Lesia A Riggs, Lesia Ann Riggs, was a registered financial professional .
Lesia is a previously registered financial professional and started their career in finance in 1994. Lesia had worked at 2 firms and has passed the Series 63 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
February 3, 1995 - November 5, 2013
GAIN SECURITIES
November 1, 1994 - January 11, 1995
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
GAIN SECURITIES
CRD#: 16203 / SEC#: , 8-33541
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
