AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JL

John S. Lemak

AXIOM CAPITAL MANAGEMENT
New York, NY 10118
Some features on this profile are disabled
CRD#: 845891
JL

Professional summary

John Sandor Lemak is a registered financial professional currently at AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1977. John has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
JOHN S. LEMAK,PRESIDENT OF JSL FINANCIAL LLC SINCE 01/2002.SANDOR ADVISORS, LLC; REGISTERED INVESTMENT ADVISER; INVESTMENT RELATED; SANDOR CAPITAL MANAGEMENT, LP - GENERAL PARTNER FOR SANDOR CAPITAL, QP(LP), INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Sandor Lemak's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 18, 2015 - Present

AXIOM CAPITAL MANAGEMENT, INC.

Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118
BD
CRD#: 26580
New York, NY
Past

July 3, 2013 - February 17, 2015

WFG ADVISORS, LP

RIA
CRD#: 125073
DALLAS, TX
Past

July 23, 2002 - December 31, 2025

SANDOR ADVISORS, LLC

RIA
CRD#: 121031
DALLAS, TX
Past

January 22, 2002 - February 17, 2015

WFG INVESTMENTS, INC.

BD
CRD#: 22704
DALLAS, TX
Past

October 14, 1994 - January 25, 2002

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

May 19, 1978 - October 17, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

December 5, 1977 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(2/18/2015)
RR
Michigan
(11/30/2023)
RR
New York
(2/18/2015)
RR
Oklahoma
(3/11/2015)
RR
Texas
(2/18/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/11/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/30/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1977
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AC
AXIOM CAPITAL MANAGEMENT, INC.
AXIOM CAPITAL MANAGEMENT, INC. | DLM HOLDINGS INC.

CRD#: 26580 / SEC#: , 8-42638

BD
Broker-Dealer Firm Regulated by FINRA (New York 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
350 Fifth Avenue Suite 6740, New York, NY 10118
Mailing Address
350 Fifth Avenue Suite 6740, New York, NY 10118
Phone number
(212) 521-3800
Established
Delaware since 04/12/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DALTON, LIAM FRANCISCEO/PRESIDENT1327801
DICHIARA, MARIADIRECTOR OF OPERATIONS/EXECUTIVE VP1751312
MILLER, ERIC LEECCO/CROP/ROSFP/ROP/MUNICIPAL PRINCIPAL2200698
RICHARD, NEAL MICHAELHEAD TRADER2601802
WRIGHT, DAVID CHARLESFINOP6023564

Disclosures

Regulatory Event11
Civil Event1
Arbitration3

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

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580New York, NY 10118

TRUST BUT VERIFY

Monitor John Lemak

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.