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John Constantine Tsamasfyros

ZANBATO SECURITIES
MOUNTAIN VIEW, CA
·CRD# 2802584·30 years experience

Professional Summary

John Constantine Tsamasfyros is a registered financial advisor currently at ZANBATO SECURITIES LLC located in Mountain View, California. John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

30 years in the financial services industry

Current & Past Employments

ZANBATO SECURITIES LLC·CRD# 279028
BD
711 N. Shorline Blvd., Mountain View, CA 94043
September 3, 2019 - Present
DISCERN SECURITIES, INC.·CRD# 155854
BD
San Mateo, CA
December 16, 2015 - September 12, 2016
SCARSDALE EQUITIES LLC·CRD# 134602
BD
New York, NY
September 28, 2012 - September 24, 2015
MERRIMAN CAPITAL, INC.·CRD# 18296
BD
New York, NY
March 24, 2006 - September 24, 2012
THOMAS WEISEL PARTNERS LLC·CRD# 46237
BD
San Francisco, CA
May 17, 1999 - March 21, 2006
FIRST FUND DISTRIBUTORS, INC.·CRD# 27038
BD
Phoenix, AZ
April 17, 1998 - October 30, 1998
ACUMENT SECURITIES, INC.·CRD# 7661
BD
San Francisco, CA
October 17, 1996 - February 25, 1998

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Current Firm

ZS
ZANBATO SECURITIES LLC

ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: 8-69654
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Contact Information

Main Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Mailing Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Phone Number

(650) 557-2333

Established

Delaware since 06/17/2015

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

FINRA licenses (43 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZANBATO HOLDING COMPANY LLCMEMBER—
FITZGERALD, HEATHERCFO4427665
RAFFERTY, MARIANNECCO1982973
SAND, KNUT NICOLAICEO6115928
WRIGHT, GREGORY LANCEPRESIDENT1564124

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(9/11/2019)
RR
New York
(9/19/2019)

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 Sep 2019About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2016About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2000

Series 7 — General Securities Representative Examination

Passed Oct 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2007About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Dec 1997About the Series 4 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view John Constantine Tsamasfyros's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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