Lesley Elizabeth Warn
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Lesley Elizabeth Warn is an investment adviser representative with Cetera Investment Advisers LLC in Standish, ME, where they have been registered since 2026. They have worked in the securities industry since 2022 and were previously registered with LPL Financial LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Maine.
Registrations & licenses
- Investment adviser:
- Maine
- Broker:
10 states and territories
Arkansas, Connecticut, Florida, Indiana, Iowa, Maine, Massachusetts, New York, South Carolina, Utah
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Gorham Savings BankFeb 2016 – Jul 2018Portland, ME
- Gorham Savings BankJul 2018 – Aug 2019South Portland, ME
- Gorham Savings BankAug 2019 – Jun 2026Falmouth, ME
- LPL Financial LLCDec 2021 – Jun 2026Falmouth, ME
- Cetera Investment Services LLCJun 2026 – no end date reportedSt Cloud, MN
- Cetera Investment Advisers LLCJun 2026 – no end date reportedStandish, ME
- Maine Community BANKJun 2026 – no end date reportedStandish, ME
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Cetera Investment Advisers LLC
Showing 12 of 10,459 in the directory
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Lesley Elizabeth Warn has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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