Anastasios Baltzis
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.
Anastasios Baltzis, who also goes by Anastasios G Baltzis, Anastasios G. Baltzis, Stas Baltzis, was a registered financial professional .
Anastasios is a previously registered financial professional and started their career in finance in 1997. Anastasios had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - November 13, 2020
CREDIT SUISSE SECURITIES (USA) LLC
July 31, 2012 - October 27, 2014
PERSHING LLC
August 26, 2004 - February 8, 2011
J.P. MORGAN SECURITIES LLC
December 18, 2001 - June 10, 2003
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 22, 2000 - October 16, 2001
DIRECTED SERVICES LLC
February 4, 1999 - March 11, 1999
NYLIFE SECURITIES LLC
September 18, 1997 - January 20, 1998
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
