Athanasios N. Bafas

ANOVEST INVESTMENT ADVISORS

Marietta, GA 30062

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CRD#: 1879961

Professional summary

Athanasios Nick Bafas, who also goes by Tom Bafas, is a registered financial advisor currently at ANOVEST INVESTMENT ADVISORS located in Marietta, Georgia and ANOVEST FINANCIAL SERVICES, INC. located in Marietta, Georgia.

Athanasios is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Athanasios has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Bafas

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.

SINCE 10/12/2000, REAL ESTATE AGENT - ALL ATLANTA REALTY, 3225 SHALLOWFORD RD., BLDG #100, MARIETTA, GA 30062; 9 HOURS/YEAR (CE) WHICH ARE ALL OUTSIDE OF SECURITIES TRADING HOURS. Since 10/19/2018 REAL ESTATE AGENT IN CO - EQUITY COLORADO, 7887 E BELLEVIEW AVE, STE 175, ENGLEWOOD, CO 80111; 9 HOURS/YEAR (CE) WHICH ARE ALL OUTSIDE OF SEECURITES TRADING HOURS. SINCE 09/13/2004, CEO/CCO/IAR-ANOVEST INVESTMENT ADVISORS, INC (REGISTERED INVESTMENT ADVISER); SAME ADDRESS AS ANOVEST FINANCIAL SERVICES; INVESTMENT-RELATED; # OF HOURS/MONTH IS NOT DETERMINABLE SINCE HOURS WORKED ARE INTERSPERSED WITH ANOVEST FINANCIAL SERVICES HOURS; DUTIES INCLUDE INVESTMENT MANAGEMENT AND PLANNING AND COMPLIANCE REVIEWS IN ADDITION TO DUTIES CUSTOMARY FOR CEO.. SINCE 01/22/2002, TTEE OF JEAN V GRAHEK TRUST; NOT INVESTMENT-RELATED; SAME ADDRESS AS ANOVEST FINANCIAL SERVICES; 2 HOURS/YEAR; 0 HOURS DURING TRADING HOURS; DUTIES ARE THOSE CUSTOMARILY PERFORMED BY TRUSTEES/EXECUTORS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Athanasios Nick Bafas's CRS (Customer Relationship Summary).

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

Current

November 27, 2007 - Present

ANOVEST INVESTMENT ADVISORS

Office #1: 3225 Shallowford Road Suite 220, Marietta, GA 30062

RIA

CRD#: 132344

Marietta, GA

Current

May 11, 2005 - Present

ANOVEST FINANCIAL SERVICES, INC.

Office #1: 3225 Shallowford Road, Suite 220, Marietta, GA 30062Office #2: 3225 Shallowford Road, Suite 220, Marietta, GA 30062

CRD#: 133593

Marietta, GA

Past

September 13, 2004 - November 19, 2007

ANOVEST INVESTMENT ADVISORS

RIA

CRD#: 132344

MARIETTA, GA

Past

April 6, 2002 - August 8, 2005

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

September 18, 1998 - April 6, 2002

INTL CUSTODY & CLEARING SOLUTIONS INC.

CRD#: 23952

BIRMINGHAM, AL

Past

January 9, 1992 - August 26, 1998

FIRST COLONIAL SECURITIES

CRD#: 25121

BOCA RATON, FL

Past

June 23, 1989 - January 1, 1992

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

September 20, 1988 - July 5, 1989

JASON MACKENZIE SECURITIES, INC.

CRD#: 15287

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/8/2013)

Arizona
(3/23/2006)

California
(9/27/2021)

Colorado
(3/19/2019)

Florida
(7/18/2005)

Georgia
(5/17/2005)

IAR

Georgia
(11/27/2007)

Illinois
(7/13/2005)

Louisiana
(8/2/2005)

Nevada
(3/20/2006)

New Jersey
(7/21/2005)

New York
(7/8/2005)

North Carolina
(4/18/2019)

Tennessee
(4/13/2020)

Texas
(7/21/2005)

IAR

Texas
(4/3/2018)

Virginia
(8/8/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/12/1989

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ANOVEST INVESTMENT ADVISORS

ANOVEST INVESTMENT ADVISORS | ANOVEST INVESTMENT ADVISORS, INC.

CRD#: 132344 / SEC#:

Georgia

Registered Investment Advisory firm - (7/30/2004 Approved)

Texas

Registered Investment Advisory firm - (4/3/2018 Conditional Restricted)

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Contact information

Main Address

3225 Shallowford Road Suite 220, Marietta, GA 30062

Mailing Address

Phone number

(770) 971-7117

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 31,438,360

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Athanasios N. Bafas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Athanasios Nick Bafas's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANOVEST FINANCIAL SERVICES, INC.

ANOVEST INVESTMENT ADVISORS

STONEX SECURITIES INC.

INTL CUSTODY & CLEARING SOLUTIONS INC.

FIRST COLONIAL SECURITIES

THE INVESTMENT CENTER, INC.

JASON MACKENZIE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/1998

Series 63

Date: 9/26/1988

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1988

Series 4

Date: 9/12/1989

Series 24

Date: 5/9/1989

FINRA

Current Firm

ANOVEST INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANOVEST INVESTMENT ADVISORS

TRUST BUT VERIFY

Contact information

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