Nicholas T. Leftakes

VIA IV INVESTMENTS

Burr Ridge, IL 60527

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CRD#: 1729929

Professional summary

Nicholas Thomas Leftakes is a registered financial advisor currently at VIA IV INVESTMENTS, LLC located in Burr Ridge, Illinois.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Nicholas has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 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.

Co-owner LT Group, LLC: Principal in a real estate investment company. Chicago, Illinois. Started as noted above 09.2007. hrs per month = approximately 80, all during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Thomas Leftakes'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

October 14, 2022 - Present

VIA IV INVESTMENTS, LLC

Office #1: 1333 Burr Ridge Parkway Suite 200, Burr Ridge, IL 60527

RIA

CRD#: 121992

Burr Ridge, IL

Past

September 9, 1999 - February 16, 2007

GH TRADERS LLC

CRD#: 36665

HINSDALE, IL

Past

January 2, 1997 - September 15, 1999

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

April 8, 1992 - January 2, 1997

THE CHICAGO CORPORATION

CRD#: 1449

CHICAGO, IL

Past

January 10, 1990 - March 17, 1992

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

April 19, 1988 - July 26, 1989

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

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".

VIA IV INVESTMENTS, LLC

"WISEFACTORS" | VIA IV INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVENSTMENT, LLC | JEFFREY JACOB HOLLAND

CRD#: 121992 / SEC#: 801-120335

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (9/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2014 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(10/14/2022)

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: 9/12/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/1988

General Securities Representative Examination

Current Firm

VIA IV INVESTMENTS, LLC

"WISEFACTORS" | VIA IV INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVENSTMENT, LLC | JEFFREY JACOB HOLLAND

CRD#: 121992 / SEC#: 801-120335

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (9/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2014 Approved)

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Contact information

Main Address

1333 Burr Ridge Parkway Suite 200, Burr Ridge, IL 60527

Mailing Address

Phone number

(630) 674-7226

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB VIA IV INVESTMENTS, LLC (2/5/2025)

FORM ADV PART 2B FOR LEFTAKES (2/5/2025)

FORM ADV PART 2B FOR SCOTT MANN (2/5/2025)

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 190,460,996

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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Nicholas T. Leftakes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Thomas Leftakes's CRS (Customer Relationship Summary).

Certified licenses

Experience

GH TRADERS LLC

ABN AMRO INCORPORATED

THE CHICAGO CORPORATION

BANC ONE CAPITAL MARKETS, INC.

WINGSPAN INVESTMENT SERVICES

Primary Firm SEC Registration

VIA IV INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2022

Series 63

Date: 3/26/1990

Series 7

Date: 4/16/1988

Current Firm

VIA IV INVESTMENTS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIA IV INVESTMENTS, LLC

TRUST BUT VERIFY

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