Cleo Kotis Adams
Professional summary
Cleo Kotis Adams, who also goes by Cleo Kotis, Cleo Kotispiperis, Cleo Piperis, is a registered financial professional currently at TOCQUEVILLE SECURITIES L.P. located in New York, New York.
Cleo is registered as a RR (Registered Representative) and started their career in finance in 1998. Cleo has worked at 2 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cleo Kotis Adams's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2009 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019April 7, 1998 - September 15, 2009
REICH & TANG DISTRIBUTORS, 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
(5/20/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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