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Tasos Chris Hatzimichael

CRD# 1304226·Registered 1984 - 1990
Barred: Tasos Chris Hatzimichael was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Tasos Chris Hatzimichael was a registered financial advisor. Tasos was a previously registered financial professional and started their career in finance 1984 - 1990. Tasos had worked at 4 firms and has passed the Series 7, Series 22, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

INVESTMENT ARCHITECTS, INC.·CRD# 17774
BD
Petaluma, CA
June 2, 1989 - February 12, 1990
INTEGRATED RESOURCES EQUITY CORPORATION·CRD# 6403
BD
December 24, 1987 - June 9, 1989
FINANCIAL PLANNERS EQUITY CORPORATION·CRD# 7420
BD
April 28, 1986 - December 24, 1987
SIGNATOR INVESTORS, INC.·CRD# 468
BD
October 16, 1984 - May 5, 1986

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Current Firm

IA
INVESTMENT ARCHITECTS, INC.

FTFS | INVESTMENT ARCHITECTS, INC.

CRD#: 17774 / SEC#: 8-35724
BD
Terminated by SEC on 12/31/2021

Contact Information

Established

California since 10/10/1984

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HADDOCK, GLEN DAVIDPRESIDENT/CFO/DUE DILIGENCE OFFICER/DIRECTOR1141515
DUCKWORTH, ANTHONY JAMESCHIEF COMPLIANCE OFFICER /DIRECTOR/EXEC VP1865790

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Dec 1985About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Sep 1985About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1984About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jun 1986About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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