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Detailed Report
RICHARD REX LIESS
CRD#: 5515353
IA
Investment Adviser
B
Broker
SPCCRD#: 110692 11020 King Street
Suite 250
Overland Park, KS 66210
SIGMA FINANCIAL CORPORATIONCRD#: 14303 11020 King Street
Suite 250
Overland Park, KS 66210
Registration History
2008201020122014201620182020202220242026IASPC (CRD# 110692)2011 - Present (14 years)BSIGMA FINANCIAL CORPORATION (CRD# 14303)2010 - Present (14 years)BFAS CORP. (CRD# 43536)2008 - 2010 (2 years)IAFINANCIAL ADVISORY SERVICE INC (CRD# 109796)2009 - 2010 (1 year)
Disclosure(s)
View By:
10/20/2016
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 6/8/2022
IA
Kansas 1/12/2011
B
Arizona 10/17/2018
B
Michigan 3/25/2021
IA
Arizona 4/26/2019
B
Missouri 9/3/2010
B
California 7/24/2023
B
North Carolina 6/8/2022
B
District of Columbia 2/15/2024
B
Ohio 6/9/2022
B
Florida 4/13/2012
B
Oklahoma 4/22/2024
B
Georgia 6/8/2022
B
Texas 3/23/2012
B
Iowa 4/13/2012
IA
Texas 4/28/2015
B
Kansas 9/3/2010

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
SPC (CRD#:110692)
11020 King Street Suite 250, Overland Park, KS 66210
4501 North 22nd Street Suite 190, Phoenix, AZ 85016
Registered with this firm since 1/12/2011
B
SIGMA FINANCIAL CORPORATION (CRD#:14303)
11020 King Street Suite 250, Overland Park, KS 66210
4501 North 22nd Street Suite 190, Phoenix, AZ 85016
Registered with this firm since 9/3/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/07/2009 - 09/02/2010 FINANCIAL ADVISORY SERVICE INC (CRD#:109796) LEAWOOD, KS
B
 06/23/2008 - 09/02/2010 FAS CORP. (CRD#:43536) LEAWOOD, KS
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.