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KD

Konstantinos Dafoulas

CAPCONNECT+ EMARKETS
YULEE, FL 32097
Some features on this profile are disabled
CRD#: 4897072
KD

Professional summary

Konstantinos Dafoulas, who also goes by Konstantino Dafoulas, Kostas Dafoulas, is a registered financial professional currently at CAPCONNECT+ EMARKETS located in Yulee, Florida.

Konstantinos is registered as a RR (Registered Representative) and started their career in finance in 2005. Konstantinos has worked at 3 firms and has passed the Series 66, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Konstantino Dafoulas | Kostas Dafoulas

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) - BD

Click below to view Konstantinos Dafoulas's CRS (Customer Relationship Summary).

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

Current

August 11, 2021 - Present

CAPCONNECT+ EMARKETS

Office #1: 75452 Sunberry Dr., Yulee, FL 32097
BD
CRD#: 310433
YULEE, FL
Past

February 17, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 17, 2005 - September 26, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
QUINCY, MA

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
IAR
Series 66
Date: 3/7/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/16/2021
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CE
CAPCONNECT+ EMARKETS
CAPCONNECT+ EMARKETS | CAPCONNECT+ EMARKETS, LLC

CRD#: 310433 / SEC#: , 8-70596

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
340 North Westlake Blvd., Suite 160, Westlake Village, CA 91362
Mailing Address
340 North Westlake Blvd., Suite 160, Westlake Village, CA 91362
Phone number
(818) 657-0288
Established
Delaware since 07/27/2020
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPCONNECT+ INC.PARENT COMPANY
DAFOULAS, KONSTANTINOSCFO, CEO
ONESTO, RICHARD ERNESTFINOP, PFO, POO2453096
SWEENEY, BRIAN PATRICKCCO4174087

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

CAPCONNECT+ EMARKETS

CRD#: 310433Yulee, FL 32097

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