James P. Lesniewski
Professional summary
James Paul Lesniewski, who also goes by James P Lesniewski, James P. Lesniewski, James Lesniewski, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Scottsdale, Arizona.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Lesniewski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Paul Lesniewski's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2020 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15333 North Pima Road Suite 235, Scottsdale, AZ 85260November 30, 2020 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15333 North Pima Road Suite 235, Scottsdale, AZ 85260June 29, 2020 - December 1, 2020
BANKERS LIFE ADVISORY SERVICES, INC.
June 24, 2020 - December 1, 2020
BANKERS LIFE SECURITIES, INC.
October 5, 2016 - July 15, 2019
LPL FINANCIAL LLC
September 30, 2016 - July 15, 2019
LPL FINANCIAL LLC
November 5, 2015 - October 7, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 2013 - October 7, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 2011 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
October 12, 2011 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
June 3, 2011 - October 12, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 1, 2010 - January 6, 2011
WELLS FARGO INVESTMENTS, LLC
June 3, 2002 - January 13, 2010
U.S. BANCORP INVESTMENTS, INC.
December 1, 2001 - January 13, 2010
U.S. BANCORP INVESTMENTS, INC.
May 23, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
April 10, 1995 - May 16, 2000
METROPOLITAN LIFE INSURANCE COMPANY
April 10, 1995 - May 16, 2000
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/28/2023)
(11/28/2023)
(11/30/2020)
(11/30/2020)
(11/10/2021)
(11/12/2021)
Exams
FINRA
Current Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
