James J. Lukezic
Professional summary
James Joseph Lukezic, AIF® is a registered financial advisor currently at OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC located in New York, New York and OLD SLIP CAPITAL MANAGEMENT, INC. located in New York, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Lukezic's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2019 - Present
OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC
Office #1: 40 Wall Street Floor 28, New York, NY 10005January 25, 2019 - Present
OLD SLIP CAPITAL MANAGEMENT, INC.
Office #1: 40 Wall Street 28th Floor, New York, NY 10005July 27, 2016 - February 22, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 27, 2016 - February 22, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 19, 2014 - July 27, 2016
OPPENHEIMER & CO. INC.
August 19, 2014 - July 27, 2016
OPPENHEIMER & CO. INC.
January 22, 2013 - September 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 22, 2013 - September 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2012 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2012 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2003 - December 12, 2003
CITIGROUP GLOBAL MARKETS INC.
January 23, 2001 - February 5, 2002
FAM DISTRIBUTORS, INC.
Primary Firm SEC Registration
OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC
CRD#: 297976 / SEC#: 801-113781
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2020)
(1/24/2020)
(1/7/2020)
(1/29/2020)
(5/2/2019)
(12/18/2019)
(6/20/2019)
(1/15/2020)
(11/8/2019)
(9/23/2019)
(12/23/2019)
(2/12/2020)
(1/15/2020)
(1/22/2020)
(1/23/2020)
(1/15/2020)
(1/24/2020)
(1/15/2020)
(1/21/2020)
(4/16/2020)
(8/5/2019)
(11/25/2019)
(1/15/2020)
(4/6/2020)
(1/15/2020)
(3/4/2020)
(2/6/2020)
(2/11/2020)
(8/2/2019)
(4/23/2020)
(12/5/2019)
(4/13/2020)
(1/25/2019)
(8/20/2021)
(12/18/2019)
(2/6/2020)
(8/19/2019)
(1/17/2020)
(6/8/2020)
(5/15/2019)
(7/13/2020)
(12/18/2019)
(4/6/2020)
(1/16/2020)
(2/27/2019)
(8/1/2019)
(1/15/2020)
(1/8/2020)
(2/19/2020)
(10/28/2019)
(1/15/2020)
(1/30/2020)
(12/26/2019)
(1/15/2020)
Exams
FINRA
Current Firm
OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC
CRD#: 297976 / SEC#: 801-113781
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 341,000,000 |
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.
