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EK

Elias N. Katsis

Some features on this profile are disabled
CRD#: 4332609
EK

Professional summary

Elias Nicholas Katsis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Elias is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Elias had worked at 11 firms, which includes LEGEND SECURITIES INC., SIXTEEN SECURITIES INC., BROOKVILLE CAPITAL PARTNERS, CAPE SECURITIES INC., ROCKWELL GLOBAL CAPITAL LLC, FIRST MIDWEST SECURITIES INC., NEWBRIDGE SECURITIES CORPORATION, SECURITIES SERVICE NETWORK LLC, CANTELLA & CO. INC., LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

E. Nicholas Katsis | Nicholas Katsis | Nick Katsis

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

March 30, 2015 - August 12, 2015

LEGEND SECURITIES, INC.

BD
CRD#: 44952
Miller Place, NY
Past

March 13, 2015 - March 20, 2015

SIXTEEN SECURITIES, INC.

BD
CRD#: 104025
Miller Place, NY
Past

January 13, 2015 - March 13, 2015

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MILLER PLACE, NY
Past

August 16, 2011 - January 12, 2015

CAPE SECURITIES INC.

BD
CRD#: 7072
LAKE GROVE, NY
Past

June 22, 2010 - August 12, 2011

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
FARMINGDALE, NY
Past

January 26, 2009 - June 22, 2010

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
FARMINGDALE, NY
Past

February 6, 2006 - January 26, 2009

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FARMINGDALE, NY
Past

January 6, 2005 - February 6, 2006

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

September 22, 2004 - December 31, 2004

CANTELLA & CO., INC.

BD
CRD#: 13905
MALDEN, MA
Past

November 20, 2002 - September 30, 2004

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 12, 2001 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

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: 1/20/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2001
General Securities Representative Examination

Current Firm

LS
LEGEND SECURITIES, INC.
LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

BD
Postponed Effective by SEC on 01/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK, INC.SHARE OWNER

Disclosures

Regulatory Event22
Arbitration14

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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Company Information

LEGEND SECURITIES, INC.

CRD#: 44952

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