Constantine W. Contes
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.
Constantine William Contes was a registered financial professional .
Constantine is a previously registered financial professional and started their career in finance in 1961. Constantine had worked at 5 firms and has passed the Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1990 - March 20, 2001
BERNARD HEROLD & CO., INC.
February 20, 1975 - February 22, 1990
ISLAND SECURITIES, INC.
January 30, 1973 - May 31, 1974
TIRACO SECURITIES
June 14, 1972 - October 3, 1972
TRIO SECURITIES, INC.
August 22, 1961 - June 3, 1972
CONTES & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/6/1961
Registered Representative ExaminationCurrent Firm
BERNARD HEROLD & CO., INC.
CRD#: 6193 / SEC#: , 8-17005
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEROLD, LAWRENCE STEPHEN | CHAIRMAN, PRESIDENT, ASST SEC, TREAS, DIR, CHIEF COMPLIANCE OFFICER | 870531 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
