Alexis A. Zacharopoulos
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.
Alexis Anthony Zacharopoulos was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 1991. Alexis had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2014 - December 6, 2019
SCOTIA CAPITAL (USA) INC.
September 5, 2012 - June 11, 2014
UBS SECURITIES LLC
February 7, 2012 - August 27, 2012
DEUTSCHE BANK SECURITIES INC.
November 4, 2005 - February 6, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - February 6, 2006
CHASE INVESTMENT SERVICES CORP.
June 17, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 26, 1993 - May 3, 1993
AMERIPRISE ADVISOR SERVICES, INC.
December 7, 1992 - February 2, 1993
HOWE BARNES HOEFER & ARNETT, INC.
September 30, 1991 - November 27, 1992
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
June 18, 1991 - September 26, 1991
CHATFIELD DEAN & CO., INC.
January 24, 1991 - June 6, 1991
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
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.
