LG
Lesley C. Grannum
KESTRA ADVISORY SERVICES
NEW YORK, NY 10004
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CRD#: 4147902
LG
Professional summary
Lesley Colleen Grannum MS., CFP®, who also goes by Lesley Colleen Grannum, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in New York, New York and KESTRA INVESTMENT SERVICES, LLC located in New York, New York.
Lesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Lesley has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lesley Colleen Grannum
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.
Business Name: Personal Capital Manmgement Investment Related: Yes Address: 17 Battery Place, Suite 730 New York NY 10004 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: registered assistant Start Date: 9/1/1987 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: registered sales assistant
CRS (Client Relationship Summary) - RIA
Click below to view Lesley Colleen Grannum MS.'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®
Experience
Current
September 1, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 17 Battery Place Suite 913, New York, NY 10004RIA
CRD#: 283330
NEW YORK, NY
Current
April 11, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 17 Battery Place Suite 913, New York, NY 10004BD
CRD#: 42046
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Alaska(2/29/2024)
RR
Arizona(2/29/2024)
RR
California(2/29/2024)
RR
Colorado(2/29/2024)
RR
Connecticut(5/12/2003)
RR
District of Columbia(2/29/2024)
RR
Florida(2/29/2024)
RR
Georgia(2/29/2024)
RR
Hawaii(2/29/2024)
RR
Illinois(2/29/2024)
RR
Maine(2/29/2024)
RR
Maryland(2/29/2024)
RR
Massachusetts(2/29/2024)
RR
Michigan(2/29/2024)
RR
Montana(2/29/2024)
RR
Nevada(2/29/2024)
RR
New Jersey(4/11/2003)
RR
New York(5/12/2003)
IAR
New York(9/1/2023)
RR
North Carolina(3/1/2024)
RR
Ohio(2/29/2024)
RR
Pennsylvania(2/29/2024)
RR
Texas(2/29/2024)
IAR
Texas(2/29/2024)
RR
Utah(2/29/2024)
RR
Virginia(2/29/2024)
RR
Washington(2/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
