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Stephen Marion Lessing

Barclays Capital Inc.

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About Stephen Marion Lessing

Stephen Lessing is a financial advisor with Barclays Capital Inc. based in New York, NY. Stephen has been working in the financial industry since 1980. Stephen Lessing is registered with FINRA and holds the Series 7, Series 24 and SIE licenses. Stephen Lessing is registered with the states of Colorado, Connecticut, District of Columbia, Florida, Louisiana, Maryland, New Jersey, New York, Ohio, Puerto Rico, Vermont, and Wisconsin.

Firm Information

Stephen Lessing is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Stephen Lessing’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

10/30/1980 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

03/17/1989 - 10/23/1995

LEHMAN GOVERNMENT SECURITIES INC.

NA

03/13/1990 - 07/18/1994

LEHMAN SPECIAL SECURITIES INC.

NA

09/23/1980 - 06/27/1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

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Licenses & Designations

BC

Issued 05/17/1989

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Stephen Marion Lessing.
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