Alan R. Leist

STRATEGIC FINANCIAL SERVICES

Utica, NY 13502

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CRD#: 306209

Professional summary

Alan Remy Leist JR, CFP®, who also goes by Alan R Leist Jr, is a registered financial advisor currently at STRATEGIC FINANCIAL SERVICES located in Utica, New York.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Alan has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan R Leist Jr

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.

INDIUM CORPORATION OF AMERICA, CLINTON, NY, NON-INVESTMENT RELATED, MANUFACTURING OF ELECTRONICS, DIRECTOR, START 2003, 1 HR MONTHLY, 0 HRS DURING TRADING, ANNUAL MEETING; BUSINESS PARK DRIVE LLC, UTICA, NY, REAL ESTATE, OWNER OF RENTAL BUILDING, 1% OF TIME DEVOTED TO ACTIVITY, NON-INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Remy Leist JR's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

January 6, 2011 - Present

STRATEGIC FINANCIAL SERVICES

Office #1: 114 Business Park Drive, Utica, NY 13502

RIA

CRD#: 109677

Utica, NY

Past

December 23, 2010 - December 6, 2011

ALAN R. LEIST PLANNING GROUP

RIA

CRD#: 105909

UTICA, NY

Past

February 18, 2010 - April 18, 2017

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

UTICA, NY

Past

October 28, 1997 - November 12, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 2, 1989 - July 26, 2019

CADARET, GRANT & CO., INC.

CRD#: 10641

UTICA, NY

Past

June 24, 1986 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

June 5, 1981 - June 20, 1985

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

Past

February 4, 1980 - June 29, 1981

M. GRIFFITH INVESTMENT SERVICES, INC.

CRD#: 2078

Past

July 17, 1969 - January 2, 1971

FAMILY, INDUSTRY & COLLEGE PLANNING CO., INC.

CRD#: 281

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".

STRATEGIC FINANCIAL SERVICES

STRATEGIC FINANCIAL SERVICES | STRATEGIC INVESTMENT ADVISORS, INC. | STRATEGIC INVESTMENT ADVISORS INC | STRATEGIC FINANCIAL SERVICES, INC.

CRD#: 109677 / SEC#: 801-33774

RIA

Registered Investment Advisory firm - (2/17/1989 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(4/25/2011)

IAR

New York
(11/22/2021)

IAR

Texas
(1/6/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 2/4/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1996

General Securities Principal Examination

Current Firm

STRATEGIC FINANCIAL SERVICES

STRATEGIC FINANCIAL SERVICES | STRATEGIC INVESTMENT ADVISORS, INC. | STRATEGIC INVESTMENT ADVISORS INC | STRATEGIC FINANCIAL SERVICES, INC.

CRD#: 109677 / SEC#: 801-33774

RIA

Registered Investment Advisory firm - (2/17/1989 Approved)

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Contact information

Main Address

114 Business Park Drive, Utica, NY 13502

Mailing Address

Phone number

(315) 724-1776

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGIC FINANCIAL SERVICES BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts	3,368
AUM (Assets Under Management)	$ 2,281,912,091

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
07/23/2024	Cover Page	Report
01/11/2024	Cover Page	Report
12/22/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Alan R. Leist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Remy Leist JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALAN R. LEIST PLANNING GROUP

CADARET, GRANT & CO., INC.

MML INVESTORS SERVICES, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

NATHAN & LEWIS SECURITIES, INC.

M. GRIFFITH INVESTMENT SERVICES, INC.

FAMILY, INDUSTRY & COLLEGE PLANNING CO., INC.

Primary Firm SEC Registration

STRATEGIC FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1986

Series 1

Date: 2/4/1980

Series 24

Date: 4/24/1996

Current Firm

STRATEGIC FINANCIAL SERVICES

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC FINANCIAL SERVICES

TRUST BUT VERIFY

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