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Gus Peter Katsafaros

CRD# 2552810·Registered 1995 - 2014
Previously Registered: Being a previously registered professional could mean that Gus 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.

Professional Summary

Gus Peter Katsafaros, who also goes by Constantinos Katsafaros, was a registered financial advisor. Gus was a previously registered financial professional and started their career in finance 1995 - 2014. Gus had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Constantinos Katsafaros

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

GLOBAL-AMERICAN INVESTMENTS, INC.·CRD# 41802
BD
Chicago, IL
December 23, 2011 - July 8, 2014
OCEAN VIEW CAPITAL, LLC·CRD# 148616
BD
Rancho Santa Fe, CA
January 14, 2011 - October 28, 2011
TRANSCEND CAPITAL·CRD# 104483
BD
Austin, TX
December 18, 2009 - December 22, 2011
GLB TRADING, INC·CRD# 125363
BD
Chicago, IL
June 8, 2005 - April 30, 2009
SORT SECURITIES, LLC.·CRD# 44326
BD
New York, NY
November 20, 2003 - February 18, 2004
GLENDALE SECURITIES, INC.·CRD# 123649
BD
Sherman Oaks, CA
July 23, 2003 - November 1, 2005
INVESTSCAPE INC.·CRD# 39992
BD
West Bloomfield, MI
July 20, 1998 - July 9, 2003
DON ALEXANDER INVESTMENTS, INC.·CRD# 15931
BD
Oak Brook, IL
January 9, 1995 - December 31, 1997

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Current Firm

GI
GLOBAL-AMERICAN INVESTMENTS, INC.

GLOBAL-AMERICAN INVESTMENTS, INC.

CRD#: 41802 / SEC#: 8-49582
BD
Terminated by SEC on 01/23/2015

Contact Information

Established

Arizona since 09/09/1996

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL-AMERICAN HOLDINGS, CORP.100% OWNER—
CONLIN, JOHN FRANCIS IIPRESIDENT & CCO1704085
CONLIN, JOHN FRANCIS IICHIEF OPERATING OFFICER1704085
LEWKE, WILLIAM FREDERICKCEO & CHAIRMAN2226635
SWIRSKY, CEDRIC MARCHELLFINOP2292281

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1995About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Feb 2002

Series 7 — General Securities Representative Examination

Passed Jan 1995About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Nov 1999About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Oct 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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