AL
Alexander E. Lessard
INDEPENDENT FINANCIAL GROUP
Alhambra, CA
Some features on this profile are disabled
CRD#: 2978066
AL
Professional summary
Alexander Earl Lessard, who also goes by Alex E Lessard, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Alhambra, California.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Alexander has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex E Lessard
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)THE PALISADES FINANCIAL GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2009 ADDRESS: 1591 E California, Pasadena CA 91106, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (2) THOMAS AQUINAS COLLEGE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 10,000 Ojai Road, Santa Paula CA 93060, United States DESCRIPTION: BOARD MEMBER, REGENTS FOR THOMAS AQUINAS COLLEGE (3) THE CORNERSTONE FORUM POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: Pasadena CA 91106, United States DESCRIPTION: Executive Co-Director. (4) ADEODATUS POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/05/2022 ADDRESS: Pasadena CA 91106, United States DESCRIPTION: BOARD MEMBER. (5) INSTITUTE FOR CATHOLIC SCHOOL LEADERSHIP (U OF ST. THOMAS, ST. PAUL, MN) POSITION: Adjunct Professor NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2023 ADDRESS: Pasadena CA 91106, United States DESCRIPTION: Teach history and philosophy of Catholic education online. (6) THE NEWMAN CLUB OF LOS ANGELES POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/16/2023 ADDRESS: Pasadena CA 91106, United States DESCRIPTION: Secretary. (7) CANTWELL FOUNDATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/18/2023 ADDRESS: 1210 E Green St, Ste 100, Pasadena CA 91106, United States DESCRIPTION: Meet with other directors of the foundation to determine programs for support of Catholic religious and educational institutions.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Earl Lessard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Earl Lessard'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®
NoneExperience
Current
May 11, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Alhambra, CA
Current
December 11, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Alhambra, CA
Past
May 26, 2009 - April 29, 2010
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
NORTHRIDGE, CA
Past
May 22, 2009 - April 29, 2010
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
NORTHRIDGE, CA
Past
April 1, 2008 - June 19, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LA JOLLA, CA
Past
March 31, 2008 - June 19, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
LA JOLLA, CA
Past
July 2, 1999 - April 3, 2008
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NORTHRIDGE, CA
Past
May 27, 1999 - April 3, 2008
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NORTHRIDGE, CA
Past
December 8, 1997 - May 10, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
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
RR
Arizona(1/24/2018)
RR
California(5/6/2010)
IAR
California(5/11/2010)
RR
Texas(2/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
