Adam L. Lessler
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.
Adam L Lessler was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2001. Adam had worked at 2 firms and has passed the Series 65 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2015 - March 31, 2017
AUREANA CAPITAL MANAGEMENT, LLC
August 27, 2001 - June 7, 2002
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
AUREANA CAPITAL MANAGEMENT, LLC
CRD#: 154124 / SEC#: 801-71777
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
Series 62
Date: 8/24/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
AUREANA CAPITAL MANAGEMENT, LLC
CRD#: 154124 / SEC#: 801-71777
Contact information
SEC notice filing (3 States and Territories)
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.
