Spiro Hartofylakas
Professional summary
Spiro Hartofylakas is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Melville, New York.
Spiro is registered as a RR (Registered Representative) and started their career in finance in 2004. Spiro has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Spiro Hartofylakas's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 425 Broadhollow Rd. Suite 325, Melville, NY 11747Office #2: 425 Broadhollow Rd Suite 300, Melville, NY 11747January 17, 2018 - June 6, 2024
SOVEREIGN GLOBAL ADVISORS LLC
December 1, 2016 - January 19, 2018
AMERICAN CAPITAL PARTNERS, LLC
April 8, 2016 - December 2, 2016
JOSEPH GUNNAR & CO. LLC
March 19, 2012 - April 8, 2016
NATIONAL SECURITIES CORPORATION
October 6, 2009 - March 27, 2012
FIRST MIDWEST SECURITIES, INC.
March 30, 2006 - November 2, 2009
AMERICAN CAPITAL PARTNERS, LLC
December 6, 2005 - April 12, 2006
WESTROCK ADVISORS, INC.
July 19, 2004 - August 22, 2005
AMERICAN CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/14/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
(6/3/2024)
Exams
FINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
