KS
Karen M. Stebbins
LESKO SECURITIES
Vestal, NY 13850
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CRD#: 4152490
KS
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.
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.
LANDLORD. NOT INVESTMENT RELATED. ACQUIRED PROPERTIES IN 2012 AND NO HOURS ARE DEVOTED TO THIS DURING TRADING HOURS.
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).
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
May 13, 2021 - Present
LESKO SECURITIES INC.
Office #1: 400 Plaza Dr Suite A, Vestal, NY 13850Office #2: 400 Plaza Drive Ste A, Vestal, NY 13850Office #3: 400 Plaza Drive Ste A, Vestal, NY 13850RIA
BD
CRD#: 10091
Vestal, NY
Current
May 9, 2000 - Present
LESKO SECURITIES INC.
Office #1: 400 Plaza Dr Suite A, Vestal, NY 13850Office #2: 400 Plaza Dr Suite A, Vestal, NY 13850Office #3: 400 Plaza Drive Ste A, Vestal, NY 13850RIA
BD
CRD#: 10091
Vestal, NY
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".
LS
LESKO SECURITIES INC.
LESKO FINANCIAL | NEW DECADE CAPITAL CORP. | LESKO SECURITIES, INC. | LESKO SECURITIES INC. | LESKO SECURITIES INC
CRD#: 10091 / SEC#: 801-110085, 8-26408
RIA
Registered Investment Advisory firm - SEC (3/20/2017 Approved)New York
Registered Investment Advisory firm - SEC (4/18/2017 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
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
RR
Florida(1/4/2022)
RR
Maryland(1/3/2022)
RR
New York(12/3/2002)
IAR
New York(5/13/2021)
RR
North Carolina(1/3/2007)
RR
Pennsylvania(11/9/2022)
RR
Texas(4/29/2024)
RR
Virginia(11/27/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 5/8/2000
Assistant Representative-Order Processing Qualification ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 3/5/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
LS
LESKO SECURITIES INC.
LESKO FINANCIAL | NEW DECADE CAPITAL CORP. | LESKO SECURITIES, INC. | LESKO SECURITIES INC. | LESKO SECURITIES INC
CRD#: 10091 / SEC#: 801-110085, 8-26408
RIA
Registered Investment Advisory firm - SEC (3/20/2017 Approved)New York
Registered Investment Advisory firm - SEC (4/18/2017 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 Plaza Dr Ste A, Vestal, NY 13850
Mailing Address
400 Plaza Dr Suite A, Vestal, NY 13850
Phone number
(607) 724-2421
Established
Delaware since 11/05/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
20
SEC notice filing (10 States and Territories)
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LESKO FINANCIAL SERVICES, INC. | OWNER | |
| HAMPTON, WILLIAM CHARLES | TREASURER | 1823025 |
| HARTUNG, ROBERT SCOTT | VICE PRESIDENT | 1295142 |
| 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 | OPERATIONS MANAGER | 4152490 |
| STEBBINS, KAREN MARIE | GENERAL SECURITIES PRINCIPAL | 4152490 |
| THORNTON, STEVEN LEE | PFO & FINOP | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 2,313 |
| AUM (Assets Under Management) | $ 597,142,817 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
Company Information
LESKO SECURITIES INC.
CRD#: 10091Vestal, NY 13850TRUST BUT VERIFY
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