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Detailed Report
ALAN REMY LEIST JR
ALAN R LEIST JR
CRD#: 306209
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Investment Adviser
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Previous Broker
STRATEGIC FINANCIAL SERVICESCRD#: 109677 114 BUSINESS PARK DRIVE
UTICA, NY 13502
Registration History
197019751980198519901995200020052010201520202025IASTRATEGIC FINANCIAL SERVICES (CRD# 109677)2011 - Present (14 years)BCADARET, GRANT & CO., INC. (CRD# 10641)1989 - 2019 (29 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1997 - 1998 (1 year)BCADARET, GRANT & CO., INC. (CRD# 16404)1986 - 1989 (3 years)BNATHAN, LEWIS & GRANT, INC. (CRD# 8503)1981 - 1985 (4 years)BM. GRIFFITH LOCKE INVESTMENT S... (CRD# 2078)1980 - 1981 (1 year)BFAMILY, INDUSTRY & COLLEGE PLA... (CRD# 281)1969 - 1971 (1 year)IACADARET GRANT & CO INC (CRD# 10641)2010 - 2017 (7 years)IAALAN R. LEIST PLANNING GROUP (CRD# 105909)2010 - 2011 (1 year)
Disclosure(s)
View By:
7/8/2013
Customer Dispute
Settled
2/18/2011
Customer Dispute
Settled
License(s)

State Registrations

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Florida 4/25/2011
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Texas 1/6/2011
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New York 11/22/2021
Current Registration(s)
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STRATEGIC FINANCIAL SERVICES (CRD#:109677)
114 BUSINESS PARK DRIVE, UTICA, NY 13502
Registered with this firm since 1/6/2011
Previous Registration(s)
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 10/02/1989 - 07/26/2019 CADARET, GRANT & CO., INC. (CRD#:10641) UTICA, NY
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 02/18/2010 - 04/18/2017 CADARET GRANT & CO INC (CRD#:10641) UTICA, NY
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 12/23/2010 - 12/06/2011 ALAN R. LEIST PLANNING GROUP (CRD#:105909) UTICA, NY
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 10/28/1997 - 11/12/1998 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
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 06/24/1986 - 10/02/1989 CADARET, GRANT & CO., INC. (CRD#:16404)
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 06/05/1981 - 06/20/1985 NATHAN, LEWIS & GRANT, INC. (CRD#:8503)
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 02/04/1980 - 06/29/1981 M. GRIFFITH LOCKE INVESTMENT SERVICES INC. (CRD#:2078)
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 07/17/1969 - 01/02/1971 FAMILY, INDUSTRY & COLLEGE PLANNING CO., INC. (CRD#:281)
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.