Pantelis Giannopoulos
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.
Pantelis Giannopoulos, who also goes by Peter Giannopoulos, was a registered financial professional .
Pantelis is a previously registered financial professional and started their career in finance in 2000. Pantelis had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2011 - November 9, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
April 13, 2005 - August 13, 2009
CHASE INVESTMENT SERVICES CORP.
December 16, 2003 - August 13, 2009
CHASE INVESTMENT SERVICES CORP.
June 18, 2002 - May 21, 2003
HSBC BROKERAGE (USA) INC.
May 1, 2002 - June 17, 2002
WAMU INVESTMENTS, INC.
April 18, 2001 - May 1, 2002
DIME SECURITIES, INC.
April 20, 2000 - January 8, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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