DL
David A. Lekarczyk
CAITLIN JOHN
VALPARAISO, IN
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CRD#: 1622966
DL
Professional summary
David Alan Lekarczyk is a registered financial advisor currently at CAITLIN JOHN, LLC located in Valparaiso, Indiana.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. David has worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
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.
INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Lekarczyk'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®
NoneExperience
Current
September 20, 2012 - Present
CAITLIN JOHN, LLC
RIA
CRD#: 154494
VALPARAISO, IN
Past
October 12, 2010 - November 6, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
VALPARAISO, IN
Past
March 14, 2006 - October 8, 2010
OSAIC FS, INC.
BD
CRD#: 3870
VALPARAISO, IN
Past
February 9, 2001 - March 27, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
July 9, 1987 - February 1, 2001
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
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".
CJ
CAITLIN JOHN, LLC
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT, INC. | IMAGINE ADVISORS, LLC | FORMULA FOLIOS PRESTIGE, LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 Terminated)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
Indiana(9/20/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CJ
CAITLIN JOHN, LLC
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT, INC. | IMAGINE ADVISORS, LLC | FORMULA FOLIOS PRESTIGE, LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1024 E. Grand River Ave Suite B, Brighton, MI 48116
Mailing Address
Phone number
(810) 355-1325
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,005 |
| AUM (Assets Under Management) | $ 183,421,272 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
