NL
Nikola Lalovic
LESKO SECURITIES
Vestal, NY 13850
Some features on this profile are disabled
CRD#: 6513315
NL
Professional summary
Nikola Lalovic is a registered financial advisor currently at LESKO SECURITIES INC. located in Vestal, New York.
Nikola is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nikola has worked at 1 firm and has passed the Series 66, Series 7TO, SIE and Series 24 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.
Chief Operating Officer for telemedicine company - Critical Consults. Company is providing specialist advise (critical care, emergency, anesthesia, hospice care, radiology consult) to veterinarians dealing with difficult cases. I own 25% of the business.
Hours per month - 40 - 50
Hours during securities trading hours - 10 - 15
Duties - Responsible for day - to - day operations, billing, developing sales, overseeing marketing, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Nikola Lalovic's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nikola Lalovic'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
March 8, 2023 - Present
LESKO SECURITIES INC.
Office #1: 400 Plaza Dr Suite A, Vestal, NY 13850RIA
BD
CRD#: 10091
Vestal, NY
Current
December 19, 2020 - Present
LESKO SECURITIES INC.
Office #1: 400 Plaza Dr Suite A, Vestal, NY 13850Office #2: 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(4/20/2023)
RR
Maryland(4/20/2023)
RR
New York(3/8/2023)
IAR
New York(3/8/2023)
RR
Pennsylvania(3/8/2023)
RR
Texas(5/1/2024)
RR
Virginia(4/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Monitor Nikola Lalovic
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
