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CS

Charles M. Spanakos

Some features on this profile are disabled
CRD#: 431371
CS

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.

Charles M Spanakos was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1972. Charles had worked at 6 firms and has passed the Series 63 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 6, 1998 - May 24, 2004

D.H. BLAIR INVESTMENT BANKING CORP.

BD
CRD#: 28502
NEW YORK, NY
Past

April 11, 1986 - March 13, 1998

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
Past

February 25, 1986 - March 6, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

October 11, 1979 - March 13, 1998

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

May 29, 1973 - January 12, 1976

C. L. KING & ASSOCIATES, INC.

BD
CRD#: 6183
Past

February 15, 1973 - July 11, 1973

ESTABROOK & CO., INC.

BD
CRD#: 267
Past

January 20, 1972 - March 5, 1973

D. H. BLAIR & COMPANY

BD
CRD#: 200

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/15/1981
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 40
Date: 1/20/1972
Registered Principal Examination

Current Firm

DB
D.H. BLAIR INVESTMENT BANKING CORP.
D.H. BLAIR INVESTMENT BANKING CORP.

CRD#: 28502 / SEC#: , 8-43789

BD
Terminated by SEC on 05/30/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/05/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DAVIS, JOSEPH MORTONCEO-DIR62281
BELL, MARTIN ALLENCLO2270510
JACKSON, GILBERT JRCHIEF FINANCIAL OFFICER-CHIEF OPERATIONS OFFICER2413206
NACHAMIE, DAVIDCHIEF COMPLIANCE OFFCER-CHIEF OPERATING OFFICER-DIRECTOR-TREASURER344382

Disclosures

Regulatory Event1

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.

Company Information

D.H. BLAIR INVESTMENT BANKING CORP.

CRD#: 28502

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