Theoharis Siklas
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.
Theoharis Siklas, who also goes by Harry Siklas, Theoharis V Siklas, Theoharris Siklas, was a registered financial professional .
Theoharis is a previously registered financial professional and started their career in finance in 1992. Theoharis had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2016 - December 21, 2017
CREDIT SUISSE SECURITIES (USA) LLC
September 19, 2013 - August 7, 2014
MERUS CAPITAL PARTNERS, LLC
March 12, 2008 - August 17, 2012
GOLDMAN SACHS & CO. LLC
March 1, 2007 - September 20, 2007
FIRST NEW YORK SECURITIES L.L.C.
June 16, 2004 - April 11, 2007
GOLDMAN SACHS & CO. LLC
July 8, 2002 - June 17, 2003
FIRST NEW YORK SECURITIES L.L.C.
October 20, 1992 - July 2, 2002
GOLDMAN SACHS & CO. LLC
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
Series 55
Date: 1/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
