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Gregory Constatine Stephen Drakos

CRD# 5931802·Registered 2011 - 2014
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory Constatine Stephen Drakos, who also goes by Gregory Drakos, was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 2011 - 2014. Gregory had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Gregory Drakos

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

15 years in the financial services industry

Current & Past Employments

CARRINGTON INVESTMENT SERVICES, LLC·CRD# 139334
BD
Aliso Viejo, CA
July 23, 2012 - October 28, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 22, 2011 - April 24, 2012

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Current Firm

CI
CARRINGTON INVESTMENT SERVICES, LLC

CARRINGTON INVESTMENT SERVICES, LLC

CRD#: 139334 / SEC#: 8-67208
BD
Terminated by SEC on 12/26/2014

Contact Information

Established

Delaware since 12/12/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CARRINGTON INVESTMENT SERVICES HOLDINGS, LLCSOLE SHAREHOLDER—
FUENTES, LORETO PATRICIACHIEF COMPLIANCE OFFICER & AML OFFICER1780379
FULCO, DARREN ANDREWPRESIDENT/GSP3236913
SALCE, PETER LUDWIGTREASURER/FINOP/CFO2323562
SIEGLER, SCOTT JACOBGENERAL COUNSEL5216018

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2014About the SIE exam

Series 79 — Investment Banking Registered Representative Examination

Passed Aug 2011About the Series 79 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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