James J. Lessing
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.
James J Lessing was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 3 firms and has passed the Series 63, Series 7, Series 25, Series 7B, Series 10, Series 9 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
May 31, 2012 - July 18, 2012
ALLIED BEACON PARTNERS, INC.
August 22, 2007 - April 30, 2012
MSI FINANCIAL SERVICES, INC.
February 11, 1994 - December 15, 2006
KEYBANC CAPITAL MARKETS INC.
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
Series 25
Date: 9/23/1999
NYSE Trading Assistant ExaminationSeries 7B
Date: 11/25/1995
Floor Broker ExaminationCurrent Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
