Athanasios G. Kapernekas
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.
Athanasios G Kapernekas, who also goes by Athanasios George Kapernekas, Tom G Kapernekas, Tom George Kapernekas, was a registered financial professional .
Athanasios is a previously registered financial professional and started their career in finance in 2000. Athanasios had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 55, Series 7, Series 6 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
September 16, 2010 - December 31, 2016
MONTECITO ADVISORS, INC.
September 7, 2010 - December 31, 2016
MONTECITO ADVISORS, INC.
April 28, 2005 - September 11, 2009
E*TRADE SECURITIES LLC
September 2, 2004 - March 22, 2005
MORGAN STANLEY DW INC.
August 24, 2004 - March 22, 2005
MORGAN STANLEY DW INC.
September 9, 2002 - December 19, 2002
TAFFERER TRADING, LLC
May 8, 2000 - September 6, 2002
AMERIPRISE ADVISOR SERVICES, 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 55
Date: 9/19/2002
Limited Representative-Equity Trader ExamCurrent Firm
MONTECITO ADVISORS, INC.
CRD#: 104004 / SEC#: , 8-52471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENADRY, ELIE MICHEL | CHAIRMAN OF THE BOARD, LTD PRINCIPAL | 721443 |
| BANERJEE, DEBASISH ("NMN") | CO-FINOP | 1555979 |
| KAPERNEKAS, ATHANASIOS G | TRADE RISK MANAGER | 4183213 |
| WOLF, ALEXANDER VICTOR | CFO, CO-FINOP | 2155490 |
| WOLF, ALEXANDER VICTOR | GSP | 2155490 |
| ZOPP, MELANIE ALANE | CHIEF COMPLIANCE OFFICER, GSP | 4671608 |
| ZOPP, MELANIE ALANE | CEO | 4671608 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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