William Charles Hampton
Professional Summary
William Charles Hampton is a registered financial advisor currently at LESKO SECURITIES INC. located in Vestal, New York. William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. William has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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J. W. COLE ADVISORS, INC.
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Disclosures on record.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LESKO FINANCIAL | NEW DECADE CAPITAL CORP. | LESKO SECURITIES, INC. | LESKO SECURITIES INC. | LESKO SECURITIES INC
Contact Information
Main Address
400 Plaza Dr Ste A, Vestal, NY 13850Mailing Address
400 Plaza Dr Suite A, Vestal, NY 13850Phone Number
(607) 724-2421Established
Delaware since 11/05/1980Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
22SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
FINRA licenses (34 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LESKO FINANCIAL SERVICES, INC. | OWNER | — |
| HAMPTON, WILLIAM CHARLES | TREASURER | 1823025 |
| HARTUNG, ROBERT SCOTT | VICE PRESIDENT | 1295142 |
| KRIEWALD, JESSICA | FINOP | 7052634 |
| LALOVIC, NIKOLA | GENERAL SECURITIES PRINCIPAL | 6513315 |
| LESKO, GREGORY STEPHEN | GENERAL SECURITIES PRINCIPAL | 1175893 |
| LESKO, GREGORY STEPHEN | ROSFP | 1175893 |
| LESKO, GREGORY STEPHEN | CEO / CCO | 1175893 |
| LESKO, GREGORY STEPHEN | MUNICIPAL SECURITIES PRINCIPAL | 1175893 |
| LESKO, GREGORY STEPHEN | PRESIDENT | 1175893 |
| PICHURA, RICHARD JAMES | SECRETARY | 4065566 |
| STEBBINS, KAREN MARIE | GENERAL SECURITIES PRINCIPAL | 4152490 |
| STEBBINS, KAREN MARIE | OPERATIONS MANAGER | 4152490 |
Regulatory Assets Under Management
Total Number of Accounts
2,547AUM (Assets Under Management)
$728,519,170Disclosures
Regulatory Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LESKO FINANCIAL | NEW DECADE CAPITAL CORP. | LESKO SECURITIES, INC. | LESKO SECURITIES INC. | LESKO SECURITIES INC
State Registrations and Notice Filings
(6/8/2021)
(12/4/2018)
(12/4/2018)
(12/4/2018)
(12/4/2018)
(12/4/2018)
(12/4/2018)
(12/4/2018)
(12/4/2018)
(12/4/2018)
(7/8/2005)
(12/4/2018)
(5/13/2021)
(12/4/2018)
(11/25/2019)
(12/4/2018)
(12/4/2018)
(1/4/2006)
(12/4/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view William Charles Hampton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Charles Hampton's CRS (Customer Relationship Summary).
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J. W. COLE ADVISORS, INC.