John A. Pliakas
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.
John Andrew Pliakas was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 8 firms and has passed the Series 65, Series 63, Series 5, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2007 - December 31, 2013
WINSLOW, EVANS & CROCKER, INC.
July 21, 2005 - April 12, 2007
JESUP & LAMONT SECURITIES CORP
May 31, 2002 - July 8, 2005
COBURN & MEREDITH, INC.
March 13, 2001 - May 1, 2001
JPMSI
February 1, 2000 - November 9, 2001
J.P. MORGAN SECURITIES INC.
March 18, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
August 23, 1988 - March 9, 1999
LEGG MASON WOOD WALKER, INCORPORATED
April 7, 1970 - March 31, 1988
E. F. HUTTON & COMPANY INC
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 5
Date: 10/19/1981
Interest Rate Options ExaminationSeries 1
Date: 12/7/1964
Registered Representative ExaminationCurrent Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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