Dimitrios Kostopoulos
Professional summary
Dimitrios Kostopoulos was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dimitrios is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Dimitrios had worked at 2 firms, which includes NEBRASKA HUDSON COMPANY INC., LADENBURG CAPITAL MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1999 - March 13, 2001
NEBRASKA HUDSON COMPANY, INC.
February 23, 1998 - August 3, 1998
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
NEBRASKA HUDSON COMPANY, INC.
CRD#: 27501 / SEC#: , 8-43127
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITRADE HOLDING CORPORATION | PARENT CORPORATION | |
| RICKETTS, JOHN PETER | VICE CHAIRMAN / PRESIDENT/CROP/SROP | 2446207 |
| CAVANAUGH, JOHN STEPHEN III | DIRECTOR OF COMPLIANCE | 2032977 |
| ENGEL, BRYCE BRADLEY | VICE PRESIDENT - OPERATIONS | 2748956 |
| GIBSON, MARK ALAN | VICE PRESIDENT - CLIENT SERVICES AND TECHNOLOGY SUPPORT | 2411853 |
| HEAD, MICHAEL JAMES | SECRETARY | 4022730 |
| LANGWITH, JOHN EDMUND III | VICE PRESIDENT - FINANCE; FINOP | 2709446 |
| WOOD, WILLIAM ARTHUR | EXECUTIVE VICE PRESIDENT - TRADING | 2196678 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 16 |
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