John E. Lekas

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CRD#: 1411663

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.

John Emmet Lekas, who also goes by John E Lekas, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1985. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John E Lekas

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.

LEADER CAPITAL

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 15, 1999 - August 31, 2020

LEADER CAPITAL CORP.

CRD#: 46206

VANCOUVER, WA

Past

May 28, 1998 - December 31, 2024

LEADER CAPITAL CORP.

RIA

CRD#: 46206

VANCOUVER, WA

Past

December 1, 1997 - October 13, 2000

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

July 31, 1993 - December 23, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 14, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 17, 1988 - April 24, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 25, 1985 - October 20, 1988

A. G. EDWARDS & SONS, INC.

CRD#: 4

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".

LEADER CAPITAL CORP.

CRD#: 46206 / SEC#: 801-56684, 8-51343

RIA

Registered Investment Advisory firm - SEC (7/16/1999 Approved)

Terminated by SEC on 08/28/2020

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/26/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/20/1998

General Securities Principal Examination

Current Firm

LEADER CAPITAL CORP.

CRD#: 46206 / SEC#: 801-56684, 8-51343

RIA

Registered Investment Advisory firm - SEC (7/16/1999 Approved)

Terminated by SEC on 08/28/2020

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Contact information

Main Address

315 W. Mill Plain Blvd. Suite 204, Vancouver, WA 98660

Mailing Address

Phone number

(503) 294-1010

Established

Washington since 05/31/2010

Firm type

Corporation

Fiscal year end

June

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LEKAS, JOHN EMMET	PRESIDENT, VP, SECRETARY, TREASURER	1411663
DILLON, CANDY LEE	CCO	4408183

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,135,338,351

Disclosures

Regulatory Event	1
Civil Event	1

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.

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John E. Lekas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEADER CAPITAL CORP.

FIRST ALLIED SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

LEADER CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/1993

Series 63

Date: 11/5/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1985

Series 24

Date: 5/20/1998

Current Firm

LEADER CAPITAL CORP.

Contact information

SEC notice filing (2 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LEADER CAPITAL CORP.

TRUST BUT VERIFY

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