Richard Lesley

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2010-12-03

MI RA
APPROVED

Since 2010-12-03

Branch Locations

Traverse City, MI • United States

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Sigma Financial Corporation	Ann Arbor	MI	02/2001	Present
Sigma Planning Corporation	Ann Arbor	MI	06/2001	Present

02/2001 → Present

Sigma Financial Corporation

Ann Arbor , MI
06/2001 → Present

Sigma Planning Corporation

Ann Arbor, MI

Other Businesses

1. LESLEY FINANCIAL SERVICES LLC: SALE OF FIXED ANNUITIES, LTC, TERM, GROUP & INDIVIDUAL TERM & DI AND FIXED INDEX ANNUITIES AND ALL TYPES OF LIFE INSURANCE THROUGH VARIOUS INSURANCE COMPANIES. 2. Appointed with Durable Power of Attorney for my mother. Perform POA duties on her behalf. Start date: 5/14/24, approx. 4-5 hrs/mo. INV REL: N

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-12-01
S63	Uniform Securities Agent State Law Examination	1997-09-19

S65 Uniform Investment Adviser Law Examination

2010-12-01
S63 Uniform Securities Agent State Law Examination

1997-09-19

Other Names

Richard Lesley

View on SEC IAPD