Thomas T. Halikias
Professional Summary
Thomas T. Halikias, who also goes by Thomas T Halikias, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1991 - 2021. Thomas had worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 3, Series 14, Series 27, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas T Halikias
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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
35 years in the financial services industry
Current & Past Employments
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Current Firm
AINVEST FINANCIAL, INC. | LIGHT HORSE SECURITIES, INC | LIGHT HORSE MARKET SOLUTIONS, INC, | LIGHT HORSE MARKET SOLUTIONS INC | B&T ASSET MANAGEMENT | B & T SECURITIES, INC.
Contact Information
Main Address
330 7th Ave Suite 902, New York, NY 10001Mailing Address
330 7th Ave Suite 902, New York, NY 10001Phone Number
(646) 330-4718Established
Florida since 01/11/2002Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Sep 2023About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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