Konstantinos Theocharidis
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.
Konstantinos Theocharidis, who also goes by Costas Theocharidis, Konstantines Theocharidis, Kostas Theocharidis, was a registered financial professional .
Konstantinos is a previously registered financial professional and started their career in finance in 2004. Konstantinos had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2013 - January 5, 2016
LM + CO. CAPITAL
December 3, 2007 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2007 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2004 - August 28, 2007
LEE FINANCIAL GROUP HAWAII, INC.
April 7, 2004 - August 28, 2007
LEE FINANCIAL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LM + CO. CAPITAL
CRD#: 154583 / SEC#: , 8-68651
Contact information
Documents
Red Flags
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