Stephan O. Lueck

BAADER HELVEA

New York, NY 10170

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CRD#: 1517054

Professional summary

Stephan Oliver Lueck is a registered financial professional currently at BAADER HELVEA INC. located in New York, New York.

Stephan is registered as a RR (Registered Representative) and started their career in finance in 1986. Stephan has worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Stephan Oliver Lueck's 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

December 21, 2021 - Present

BAADER HELVEA INC.

Office #1: 420 Lexington Avenue Suite 804, New York, NY 10170Office #2: 420 Lexington Avenue Suite 804, New York, NY 10170

CRD#: 132007

New York, NY

Past

July 21, 2009 - December 17, 2021

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761

NEW YORK, NY

Past

June 6, 2006 - March 24, 2008

PORTIGON SECURITIES INC.

CRD#: 10050

NEW YORK, NY

Past

January 6, 2006 - May 19, 2006

NUMIS SECURITIES LLC

CRD#: 128471

NEW YORK, NY

Past

June 7, 2005 - January 3, 2006

NUMIS SECURITIES LLC

CRD#: 128471

NEW YORK, NY

Past

September 20, 2004 - November 16, 2004

COMMERZBANK CAPITAL MARKETS CORP.

CRD#: 21787

NEW YORK, NY

Past

January 28, 2000 - April 15, 2004

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

January 5, 1999 - July 20, 2000

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

Past

June 5, 1998 - January 7, 1999

BNP PARIBAS BROKERAGE SERVICES, INC.

CRD#: 31394

KING OF PRUSSIA, PA

Past

November 11, 1996 - April 15, 1998

JULIUS BAER SECURITIES INC.

CRD#: 1141

NEW YORK, NY

Past

January 1, 1995 - October 15, 1996

DG EUROPEAN SECURITIES CORPORATION

CRD#: 15304

NEW YORK, NY

Past

October 28, 1992 - November 11, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 6, 1988 - June 22, 1990

V.F. MINTON SECURITIES, INC.

CRD#: 20642

Past

October 7, 1988 - December 10, 1988

GRAYSTONE NASH, INC.

CRD#: 10635

Past

January 6, 1987 - March 19, 1988

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

August 18, 1986 - December 12, 1986

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(12/21/2021)

Arizona
(12/21/2021)

California
(12/21/2021)

Colorado
(12/21/2021)

Connecticut
(12/21/2021)

Delaware
(12/21/2021)

District of Columbia
(12/21/2021)

Florida
(12/21/2021)

Georgia
(12/21/2021)

Illinois
(12/21/2021)

Indiana
(12/21/2021)

Iowa
(12/21/2021)

Kansas
(12/21/2021)

Kentucky
(12/21/2021)

Maryland
(12/21/2021)

Massachusetts
(12/21/2021)

Michigan
(12/21/2021)

Minnesota
(12/21/2021)

Missouri
(12/21/2021)

Nevada
(12/21/2021)

New Hampshire
(12/21/2021)

New Jersey
(12/21/2021)

New Mexico
(12/21/2021)

New York
(12/21/2021)

North Carolina
(12/21/2021)

Ohio
(12/22/2021)

Oregon
(12/21/2021)

Pennsylvania
(12/21/2021)

Rhode Island
(12/21/2021)

South Carolina
(12/21/2021)

Texas
(12/21/2021)

Utah
(12/21/2021)

Vermont
(12/21/2021)

Virginia
(12/21/2021)

Washington
(12/21/2021)

West Virginia
(12/21/2021)

Wisconsin
(12/21/2021)

Wyoming
(12/21/2021)

Exams

State Security Law Exam

Series 63

Date: 1/12/1995

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: 10/17/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/12/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/27/1995

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BAADER HELVEA INC.

BAADER HELVEA INC. | HELVEA INC.

CRD#: 132007 / SEC#: , 8-66540

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

420 Lexington Avenue Suite 804, New York, NY 10170

Mailing Address

420 Lexington Avenue Suite 804, New York, NY 10170

Phone number

(212) 935-5150

Established

Delaware since 01/07/2004

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (39 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BAADER HELVEA AG	DIRECT OWNER
AMMER, JOCHEN GUENTHER VOLKER	DIRECTOR	2151302
AMMER, JOCHEN GUENTHER VOLKER	PRESIDENT/CCO	2151302
BENDER, STEVEN CHRISTOPHER	PFO, POO	2650187
BENDER, STEVEN CHRISTOPHER	FINOP	2650187
DEANE, MORGAN ESQ	SECRETARY	6116799
DEANE, MORGAN ESQ	DIRECTOR	6116799
HAUSER, TIMON GERHARD	DIRECTOR	7901577
NIEDERMAYER, SEBASTIAN JOSEF	DIRECTOR	5225454
RIEDEL, OLIVER	DIRECTOR	4680070

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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Advisor Monitoring

Firm Stability Insights

Stephan O. Lueck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephan Oliver Lueck's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUERBACH GRAYSON & COMPANY LLC

PORTIGON SECURITIES INC.

NUMIS SECURITIES LLC

NUMIS SECURITIES LLC

COMMERZBANK CAPITAL MARKETS CORP.

BNP PARIBAS SECURITIES CORP.

BNP PARIBAS INVESTMENT SERVICES, LLC

BNP PARIBAS BROKERAGE SERVICES, INC.

JULIUS BAER SECURITIES INC.

DG EUROPEAN SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

V.F. MINTON SECURITIES, INC.

GRAYSTONE NASH, INC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1992

Series 6

Date: 8/12/1986

Series 4

Date: 6/27/1995

Series 24

Date: 5/24/1995

FINRA

Current Firm

BAADER HELVEA INC.

Contact information

FINRA licenses (39 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BAADER HELVEA INC.

TRUST BUT VERIFY

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