Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Lessley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in BIRMINGHAM, AL. Rick Lessley has been in the financial services industry since 1995. Rick Lessley is registered with FINRA as a general securities representative and a registered investment advisor. Rick Lessley is also registered with the states of Alabama, Alaska, Florida, Georgia, Mississippi, Missouri, North Carolina, South Carolina, Tennessee, and Texas. Rick Lessley has worked for several firms throughout their career. Rick Lessley has been a registered representative for Merrill Lynch, Pierce, Fenner & Smith Inc. since January 2020 and previously held positions at WELLS FARGO ADVISORS LLC and WELLS FARGO CLEARING SERVICES, LLC. Rick Lessley specializes in working with individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Rick Lessley provides a range of financial services including portfolio management for individuals and businesses, selection of other advisors, and performance measurement reports.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
05/30/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BIRMINGHAM AL)
AL
10/22/2007 - 01/29/2020
WELLS FARGO CLEARING SERVICES, LLC (BIRMINGHAM AL)
AL
10/12/1995 - 10/25/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BIRMINGHAM AL)
IA
Issued 11/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Rick Lessley is the right advisor for you? Invested Better is here to help.
