Leslie B. Lukoff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leslie Barry Lukoff, who also goes by Les Lukoff, was a registered financial advisor .
Leslie is a previously registered financial advisor and started their career in finance in 1982. Leslie had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2013 - November 8, 2013
NFSG CORPORATION
January 17, 2013 - October 31, 2013
NEWBRIDGE SECURITIES CORPORATION
January 14, 2013 - January 23, 2013
BURNHAM SECURITIES INC.
September 28, 2011 - January 17, 2013
MEDITERRANEAN SECURITIES GROUP, LLC
January 23, 2009 - September 30, 2011
NFSG CORPORATION
February 13, 2008 - September 30, 2011
NEWBRIDGE SECURITIES CORPORATION
March 10, 2003 - February 7, 2008
CAPITAL GROWTH FINANCIAL, LLC
February 5, 2003 - February 7, 2008
CAPITAL GROWTH FINANCIAL, LLC
September 27, 1996 - February 20, 2003
RAYMOND JAMES & ASSOCIATES, INC.
July 22, 1996 - February 20, 2003
RAYMOND JAMES & ASSOCIATES, INC.
July 19, 1994 - June 28, 1996
CHASE INVESTMENT SERVICES CORP.
February 16, 1988 - August 1, 1994
MORGAN STANLEY DW INC.
November 20, 1984 - February 22, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 1983 - January 1, 1985
UBS FINANCIAL SERVICES INC.
January 27, 1982 - December 22, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
