Karen Marie Stebbins
Professional Summary
Karen Marie Stebbins is a registered financial advisor currently at LESKO SECURITIES INC. located in Vestal, New York. Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Karen has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 11, Series 24 and Series 28 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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Disclosures on record.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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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
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.
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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
(1/4/2022)
(1/3/2022)
(12/3/2002)
(5/13/2021)
(1/3/2007)
(11/9/2022)
(4/29/2024)
(11/27/2020)
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.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed May 2000Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2003About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Karen Marie Stebbins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Marie Stebbins's CRS (Customer Relationship Summary).
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J. W. COLE ADVISORS, INC.
