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GD

George K. Doumanis

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CRD#: 1319088
GD

Professional summary

George Konstantinos Doumanis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

George is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, George had worked at 9 firms, which includes S.G. MARTIN SECURITIES LLC, CREATIVE CAPITAL MANAGEMENT CORPORATION, BROCKINGTON SECURITIES INC., FIRST AFFILIATED SECURITIES, CAMELOT INVESTMENT CORP., FIRST ASSET MANAGEMENT INC., GLOBAL CAPITAL SECURITIES INC., FIRST SWISS INTERNATIONAL SECURITIES CORPORATION, INDIVIDUAL'S SECURITIES LTD..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Konstatines Doumanis

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

January 24, 2001 - April 28, 2003

S.G. MARTIN SECURITIES LLC

BD
CRD#: 46908
JERICHO, NY
Past

September 8, 1997 - February 5, 2001

CREATIVE CAPITAL MANAGEMENT CORPORATION

BD
CRD#: 11145
CLEVELAND, OH
Past

July 7, 1995 - February 27, 1997

BROCKINGTON SECURITIES, INC.

BD
CRD#: 37438
RONKONKOMA, NY
Past

November 28, 1994 - August 29, 1995

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

January 28, 1993 - August 3, 1999

CAMELOT INVESTMENT CORP.

BD
CRD#: 21925
Past

June 14, 1990 - February 11, 1993

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY
Past

November 2, 1989 - April 24, 1990

GLOBAL CAPITAL SECURITIES, INC.

BD
CRD#: 13358
Past

February 17, 1989 - September 16, 1989

FIRST SWISS INTERNATIONAL SECURITIES CORPORATION

BD
CRD#: 7958
Past

April 23, 1985 - March 2, 1989

INDIVIDUAL'S SECURITIES LTD.

BD
CRD#: 7279

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/20/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/2/1995
General Securities Principal Examination

Current Firm

SM
S.G. MARTIN SECURITIES LLC
S.G. MARTIN SECURITIES LLC

CRD#: 46908 / SEC#: , 8-51583

BD
Terminated by SEC on 04/22/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/25/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PANTELAKIS, EMANUELNONE
WESTWIND HOLDING LLCOWNER

Disclosures

Regulatory Event4
Arbitration2

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

S.G. MARTIN SECURITIES LLC

CRD#: 46908

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