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TK

Theodore Karabetsos

Some features on this profile are disabled
CRD#: 7084573
TK

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.

Theodore Karabetsos, who also goes by Theodore Karabetsos Jr, was a registered financial professional .

Theodore is a previously registered financial professional and started their career in finance in 2020. Theodore had worked at 6 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Theodore Karabetsos Jr

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)

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

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

Past

October 25, 2024 - January 9, 2025

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
New York, NY
Past

July 10, 2024 - August 13, 2024

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

January 12, 2024 - March 7, 2024

SUPREME ALLIANCE LLC

BD
CRD#: 45348
CHARLOTTE, NC
Past

May 11, 2022 - October 7, 2022

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
NEW YORK, NY
Past

April 1, 2022 - April 28, 2022

SW FINANCIAL

BD
CRD#: 145012
NEW YORK, NY
Past

November 9, 2020 - September 9, 2021

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
MELVILLE, NY

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
Series 63
Date: 4/2/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/9/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/18/2019
Securities Industry Essentials Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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