Vasilios Roussos
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.
Vasilios Roussos, who also goes by Bill Roussos, William Roussos, was a registered financial professional .
Vasilios is a previously registered financial professional and started their career in finance in 1996. Vasilios had worked at 12 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2022 - July 12, 2026
J.P. MORGAN SECURITIES LLC
January 3, 2022 - March 10, 2022
NETWORK 1 FINANCIAL SECURITIES INC.
August 29, 2018 - March 6, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 21, 2016 - August 13, 2018
NATIONAL SECURITIES CORPORATION
October 14, 2015 - October 13, 2016
PHX FINANCIAL, INC.
October 15, 2012 - October 15, 2015
NATIONAL SECURITIES CORPORATION
January 26, 2009 - November 6, 2012
JOHN THOMAS FINANCIAL
May 2, 2008 - February 26, 2009
FIRST MIDWEST SECURITIES, INC.
February 6, 2006 - May 6, 2008
NEWBRIDGE SECURITIES CORPORATION
January 4, 2005 - February 6, 2006
SECURITIES SERVICE NETWORK, LLC
August 27, 2004 - December 31, 2004
CANTELLA & CO., INC.
November 20, 2002 - September 15, 2004
LADENBURG THALMANN & CO. INC.
April 9, 1996 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
