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Detailed Report
LEE ALLAN FICKES
LEE A FICKES
CRD#: 207148
IA
Investment Adviser
B
Broker
PROFESSIONAL ANALYSTS, LLCCRD#: 124805 2370 DELTA RD
BAY CITY, MI 48706
OSAIC WEALTH, INC.CRD#: 23131 2370 DELTA RD.
BAY CITY, MI 48706
Registration History
197019751980198519901995200020052010201520202025IAPROFESSIONAL ANALYSTS, LLC (CRD# 124805)2010 - Present (14 years)BOSAIC WEALTH, INC. (CRD# 23131)2024 - Present (<1 year)BTRIAD ADVISORS LLC (CRD# 25803)2002 - 2024 (22 years)BAXA ADVISORS, LLC (CRD# 6627)1980 - 2002 (21 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1970 - 2000 (29 years)
License(s)

State Registrations

B
Florida 8/23/2024
B
Michigan 8/23/2024
B
Illinois 12/26/2024
B
Pennsylvania 8/23/2024
B
Iowa 8/23/2024
B
Texas 8/23/2024
IA
Michigan 8/25/2010
B
Virginia 8/23/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PROFESSIONAL ANALYSTS, LLC (CRD#:124805)
2370 DELTA RD, BAY CITY, MI 48706
Registered with this firm since 8/25/2010
B
OSAIC WEALTH, INC. (CRD#:23131)
2370 DELTA RD., BAY CITY, MI 48706
Registered with this firm since 8/23/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/20/2002 - 08/23/2024 TRIAD ADVISORS LLC (CRD#:25803) BAY CITY, MI
B
 10/20/1980 - 09/18/2002 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 07/09/1970 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.