Constantine A. Diavatopoulos
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.
Constantine Augustus Diavatopoulos, who also goes by Constantine Augustus Diavatopoulos Gus, Gus Diavatopoulos, was a registered financial advisor .
Constantine is a previously registered financial advisor and started their career in finance in 1993. Constantine had worked at 6 firms and has passed the Series 66, Series 63, SIE 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
October 29, 2008 - December 2, 2016
LAWSON FINANCIAL CORPORATION
November 17, 2006 - February 26, 2007
RIDGEWAY & CONGER, INC.
November 22, 2005 - December 15, 2005
A. G. EDWARDS & SONS, INC.
July 29, 2002 - December 15, 2005
A. G. EDWARDS & SONS, INC.
February 26, 2002 - July 16, 2002
IDS LIFE INSURANCE COMPANY
February 26, 2002 - July 16, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
August 25, 2000 - May 29, 2001
AMUNI FINANCIAL, INC.
April 30, 1998 - April 3, 2000
AMUNI FINANCIAL, INC.
December 16, 1997 - April 16, 1998
LAWSON FINANCIAL CORPORATION
November 2, 1993 - December 12, 1997
AMUNI FINANCIAL, 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
LAWSON FINANCIAL CORPORATION
CRD#: 15261 / SEC#: , 8-32099
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 7 |
Red Flags
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