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Spiro Lazaretos

CRD# 1865086·Registered 1988 - 1999
Barred: Spiro Lazaretos was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Spiro Lazaretos, who also goes by Steven Lazar, Spiro Lazeratos, was a registered financial advisor. Spiro was a previously registered financial professional and started their career in finance 1988 - 1999. Spiro had worked at 21 firms and has passed the Series 63 and Series 7 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

Steven Lazar, Spiro Lazeratos

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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

38 years in the financial services industry

Current & Past Employments

CARIBBEAN SECURITIES LLC·CRD# 43385
BD
New York, NY
June 12, 1998 - May 19, 1999
SAUCEDA & GRANVILLE SECURITIES, INC.·CRD# 28939
BD
Denver, CO
July 31, 1997 - February 16, 1998
JARON EQUITIES CORP.·CRD# 5764
BD
Hicksville, NY
November 20, 1996 - April 14, 1997
THE CAMELOT GROUP, INC.·CRD# 31091
BD
Ft Lauderdale, FL
July 18, 1996 - October 28, 1996
TRADEPORTAL SECURITIES, INC.·CRD# 25001
BD
Aliso Viejo, CA
February 26, 1996 - June 6, 1996
SMITH, BENTON & HUGHES, INC.·CRD# 20877
BD
Los Angeles, CA
January 20, 1996 - February 8, 1996
COLIN WINTHROP & CO., INC.·CRD# 26012
BD
Jericho, NY
November 6, 1995 - December 8, 1995
INVESTORS ASSOCIATES, INC.·CRD# 958
BD
Hackensack, NJ
December 12, 1994 - September 25, 1995
BLUESTONE CAPITAL CORP.·CRD# 13516
BD
New York, NY
December 8, 1993 - December 12, 1994
ROBERT TODD FINANCIAL CORP.·CRD# 7423
BD
New York, NY
May 28, 1993 - February 15, 1994
M.S. FARRELL & COMPANY, INC.·CRD# 24232
BD
Syosset, NY
January 25, 1993 - May 24, 1993
HANOVER, STERLING & COMPANY LTD.·CRD# 15491
BD
New York, NY
November 12, 1992 - September 30, 1994
FIRST ASSET MANAGEMENT, INC.·CRD# 17341
BD
Garden City, NY
March 30, 1992 - July 22, 1992
NETWORK 1 FINANCIAL SECURITIES INC.·CRD# 13577
BD
Red Bank, NJ
October 11, 1991 - April 14, 1992
HANOVER, STERLING & COMPANY LTD.·CRD# 15491
BD
New York, NY
April 15, 1991 - October 15, 1991
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
January 22, 1991 - January 29, 1991
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
August 27, 1990 - January 21, 1991
ROBERT TODD FINANCIAL CORP.·CRD# 7423
BD
New York, NY
August 7, 1990 - September 5, 1990
A.S. GOLDMEN & CO., INC.·CRD# 23180
BD
Red Bank, NJ
July 13, 1990 - August 14, 1990
FIRST FIDELITY CAPITAL CORP.·CRD# 17967
BD
June 7, 1989 - October 19, 1990
J. T. MORAN & CO., INC.·CRD# 15655
BD
February 17, 1989 - June 7, 1989
F.D. ROBERTS SECURITIES, INC.·CRD# 693
BD
January 19, 1989 - October 2, 1989
INVESTORS CENTER, INC.·CRD# 14670
BD
November 17, 1988 - January 23, 1989
LEHMAN BROTHERS INC.·CRD# 7506
BD
August 30, 1988 - December 5, 1988

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Current Firm

CS
CARIBBEAN SECURITIES LLC

CARIBBEAN SECURITIES LLC

CRD#: 43385 / SEC#: 8-50259
BD
Cancelled by SEC on 06/20/2001

Contact Information

Established

Delaware since 04/01/1997

Firm Type

Other Types of Legal Formation

Fiscal Year End

December

Documents

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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.

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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 63 — Uniform Securities Agent State Law Examination

Passed Sep 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1988About the Series 7 exam

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CRS (Client Relationship Summary)

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

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