Samuel A. Constantis
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.
Samuel Anthony Constantis, who also goes by Sam Constantis, Sammy Constantis, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1993. Samuel had worked at 14 firms and has passed the Series 63, Series 55, Series 7, Series 62 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
October 1, 2002 - May 19, 2003
CLARK STREET CAPITAL, INC.
June 7, 2001 - July 23, 2002
REDWOOD BROKERAGE LLC
October 18, 2000 - April 18, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
October 5, 1999 - October 5, 2000
NORTHRIDGE CAPITAL CORPORATION
March 19, 1998 - September 20, 1999
NEW TIMES SECURITIES SERVICES, INC.
September 8, 1997 - March 25, 1998
THE HERITAGE GROUP, INC.
June 6, 1997 - July 30, 1997
CASTLE SECURITIES CORP.
February 28, 1997 - June 17, 1997
L.B. SAKS, INC.
November 1, 1996 - March 20, 1997
MATRIX SECURITIES CORPORATION
September 11, 1996 - November 8, 1996
MEYERS POLLOCK ROBBINS, INC.
August 23, 1996 - November 7, 1996
INSTITUTIONAL EQUITY CORPORATION
February 28, 1996 - August 23, 1996
BISHOP, ALLEN, INC.
December 18, 1995 - February 21, 1996
GLOBAL EQUITIES GROUP INC
November 30, 1993 - December 16, 1995
CONTINENTAL BROKER-DEALER CORP.
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: 6/20/2002
Limited Representative-Equity Trader ExamSeries 62
Date: 11/29/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
CLARK STREET CAPITAL, INC.
CRD#: 38304 / SEC#: , 8-48222
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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