Constantine Lalaounis

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CRD#: 1862884

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Constantine Lalaounis, who also goes by Constantine Dino Lalaounis, Dino Lalaounis, was a registered financial professional .

Constantine is a previously registered financial professional and started their career in finance in 1989. Constantine had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Constantine Dino Lalaounis | Dino Lalaounis

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

August 16, 2024 - May 27, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Boynton Beach, FL

Past

April 30, 2024 - August 16, 2024

LPL FINANCIAL LLC

CRD#: 6413

BOYNTON BEACH, FL

Past

September 27, 2022 - January 3, 2024

CITIZENS SECURITIES, INC.

CRD#: 39550

West Palm Beach, FL

Past

July 10, 2019 - August 19, 2022

OPPENHEIMER & CO. INC.

CRD#: 249

NORTH PALM BEACH, FL

Past

February 15, 2013 - July 24, 2019

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

February 15, 2013 - July 24, 2019

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

BOCA RATON, FL

Past

January 20, 2011 - April 29, 2011

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

ST. PETERSBURG, FL

Past

May 21, 1999 - April 29, 2011

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

ST. PETERSBURG, FL

Past

January 19, 1996 - March 26, 1999

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

April 16, 1990 - December 31, 1994

FINANCIAL INFORMATION CENTERS BROKERAGE, INC.

CRD#: 21119

Past

July 18, 1989 - October 4, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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

Series 63

Date: 5/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1989

General Securities Representative Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

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Constantine Lalaounis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

CITIZENS SECURITIES, INC.

OPPENHEIMER & CO. INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

TRUIST INVESTMENT SERVICES, INC.

FINANCIAL INFORMATION CENTERS BROKERAGE, INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/9/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1989

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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