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LL

Lawrence H. Levy

IKE CAPITAL
Roslyn, NY
Some features on this profile are disabled
CRD#: 1210556
LL

Professional summary

Lawrence Howard Levy is a registered financial advisor currently at IKE CAPITAL, LLC located in Roslyn, New York.

Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Lawrence has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 5 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Howard Levy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 6, 2021 - Present

IKE CAPITAL, LLC

RIA
CRD#: 132473
Roslyn, NY
Past

January 23, 2015 - September 16, 2016

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
New York, NY
Past

January 21, 2015 - September 16, 2016

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
New York, NY
Past

March 28, 2012 - January 28, 2015

DOMINICK & DICKERMAN LLC

RIA
CRD#: 7344
NEW YORK, NY
Past

May 6, 2008 - December 2, 2010

IKE CAPITAL, LLC

RIA
CRD#: 132473
NEW YORK, NY
Past

March 17, 2006 - December 31, 2011

DOMINICK & DICKERMAN LLC

RIA
CRD#: 7344
NEW YORK, NY
Past

September 3, 2004 - January 28, 2015

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
NEW YORK, NY
Past

January 17, 2003 - September 21, 2004

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

January 17, 2003 - September 21, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 3, 1995 - January 17, 2003

PERSHING LLC

RIA
CRD#: 7560
NEW YORK, NY
Past

March 3, 1995 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 21, 1989 - March 29, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

December 21, 1983 - February 3, 1987

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IC
IKE CAPITAL, LLC
IKE CAPITAL, LLC

CRD#: 132473 / SEC#: 801-63415

RIA
Registered Investment Advisory firm - (8/6/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(9/6/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/17/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 1/18/1984
Interest Rate Options Examination

Current Firm

IC
IKE CAPITAL, LLC
IKE CAPITAL, LLC

CRD#: 132473 / SEC#: 801-63415

RIA
Registered Investment Advisory firm - (8/6/2004 Approved)
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Contact information

Main Address
New York, NY
Mailing Address
Phone number
(917) 825-1536
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

IKE CAPITAL, LLC DISCLOSURE BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts115
AUM (Assets Under Management)$ 157,262,968

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.

Company Information

IKE CAPITAL, LLC

CRD#: 132473Roslyn, NY

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