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EK

Emmanuel G. Kavekos

Some features on this profile are disabled
CRD#: 2794227
EK

Professional summary

Emmanuel George Kavekos was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Emmanuel is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Emmanuel had worked at 2 firms, which includes BAXTER BANKS & SMITH LTD., FIRST SECURITIES USA INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Manny G Kavekos

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 18, 1998 - September 14, 1999

BAXTER BANKS & SMITH, LTD.

BD
CRD#: 40771
ST. PETERSBURG, FL
Past

January 31, 1997 - November 23, 1998

FIRST SECURITIES USA, INC.

BD
CRD#: 39986
IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1996
General Securities Representative Examination

Current Firm

BB
BAXTER BANKS & SMITH, LTD.
BAXTER BANKS & SMITH, LTD.

CRD#: 40771 / SEC#: , 8-49185

BD
Terminated by SEC on 05/27/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/19/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MCDERMOTT, FRANCIS MARTINCEO1013320

Disclosures

Regulatory Event15
Arbitration17

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.

Company Information

BAXTER BANKS & SMITH, LTD.

CRD#: 40771

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