Kathy Lessard
Kathy Lessard is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Rochester, MN, with 30 years of industry experience. Kathy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.
Fee Estimator
Location
3425 40th Avenue NW, Suite 200, Rochester, MN, 55901
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Kathy owns Kat's Performance Horses LLC, breeding and showing cutting horses, dedicating a few hours per week. She also owns Kat's Ventures LLC to hold a plane, spending minimal time servicing the aircraft and filing documents.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Piper Jaffray & CO.Broker
State Registrations23 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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