Nikolas D. Gounaris
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.
Nikolas Dimitrios Gounaris was a registered financial professional .
Nikolas is a previously registered financial professional and started their career in finance in 1994. Nikolas had worked at 5 firms and has passed the Series 65, Series 63, SIE, 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
March 20, 2006 - February 21, 2018
AST INVESTMENT SERVICES, INC.
March 12, 2003 - March 25, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
August 17, 2000 - February 21, 2018
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
April 18, 1997 - July 17, 2000
PEOPLE'S SECURITIES, INC.
July 12, 1994 - April 10, 1997
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
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
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 93,541,799,206 |
Red Flags
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