Vassilis Sfyroeras
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.
Vassilis Sfyroeras, who also goes by Bill Sfyroeras, William Sfyroeras, was a registered financial professional .
Vassilis is a previously registered financial professional and started their career in finance in 1995. Vassilis had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2016 - July 27, 2016
SANTANDER SECURITIES LLC
July 7, 2015 - January 6, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 7, 2015 - January 6, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 21, 2015 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
July 31, 2014 - July 7, 2015
STERNE, AGEE & LEACH, INC.
May 30, 2008 - August 5, 2014
OPPENHEIMER & CO. INC.
October 21, 2003 - June 5, 2008
J.P. MORGAN SECURITIES LLC
January 3, 2003 - October 13, 2003
OPPENHEIMER & CO. INC.
August 19, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 17, 1995 - August 22, 1997
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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.
