Constantine A. Pelos
Professional summary
Constantine Andrew Pelos, who also goes by Dean Pelos, Constantine Pelos, Dean A Pelos, Dean Pelos, is a registered financial professional currently at LAMPERT CAPITAL MARKETS INC. located in Ny, New York.
Constantine is registered as a RR (Registered Representative) and started their career in finance in 1983. Constantine has worked at 16 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Constantine Andrew Pelos's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2026 - Present
LAMPERT CAPITAL MARKETS INC.
Office #1: 900 Third Ave Suite 1403, Ny, NY 10022July 12, 2022 - September 22, 2022
FORO CAPITAL MARKETS, LLC
March 10, 2022 - October 2, 2023
OPTIONALITY SECURITIES
February 10, 2021 - September 6, 2022
EXCELSIOR EQUITIES
January 8, 2021 - January 3, 2022
ST. GERMAIN SECURITIES, INC.
October 4, 2018 - July 30, 2019
M FINANCIAL SECURITIES MARKETING, INC.
July 2, 2018 - July 30, 2019
M HOLDINGS SECURITIES, INC.
May 30, 2018 - August 8, 2018
FIRST NATIONAL CAPITAL MARKETS
October 19, 2017 - December 12, 2018
INTEGRAL EQUITIES RESEARCH LLC
January 23, 2017 - January 10, 2018
FUNDING CIRCLE SECURITIES LLC
August 4, 2016 - October 25, 2016
M HOLDINGS SECURITIES, INC.
June 23, 2014 - September 2, 2014
LPL FINANCIAL LLC
April 23, 2009 - October 23, 2013
LASALLE ST SECURITIES, L.L.C.
September 16, 1991 - September 22, 2009
ACADEMY SECURITIES, INC.
June 19, 1990 - November 20, 1992
SECUREVEST FINANCIAL GROUP
May 1, 1989 - June 15, 1989
CHARLES SCHWAB & CO., INC.
November 22, 1983 - May 1, 1989
ROSE & COMPANY INVESTMENT BROKERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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