Bernadotte P. Lester
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.
Bernadotte Perrin Lester JR, who also goes by Bernadotte P Lester Jr, Bud Lester, was a registered financial advisor .
Bernadotte is a previously registered financial advisor and started their career in finance in 1969. Bernadotte had worked at 11 firms and has passed the Series 63, SIE, PC and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - April 14, 2015
D.A. DAVIDSON & CO.
November 25, 2013 - April 14, 2015
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
October 17, 2006 - November 4, 2013
CROWELL, WEEDON & CO.
January 7, 2005 - November 4, 2013
CROWELL, WEEDON & CO.
March 9, 2002 - January 26, 2005
RBC CAPITAL MARKETS, LLC
August 7, 1990 - March 9, 2002
SUTRO & CO. INCORPORATED
February 27, 1989 - April 14, 1989
MEMBERS BROKERAGE ASSOCIATION, INC.
November 23, 1988 - July 25, 1990
WEDBUSH SECURITIES INC.
December 4, 1986 - December 19, 1988
MEMBERS BROKERAGE ASSOCIATION, INC.
July 16, 1982 - July 25, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
June 29, 1979 - July 15, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 26, 1973 - May 2, 1979
JEFFERIES EXECUTION SERVICES, INC.
October 27, 1969 - May 6, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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
PC
Date: 5/16/1977
AMEX Put and Call ExamCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
