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EA

Elias D. Argyropoulos

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CRD#: 7088
EA

Professional summary

Elias D Argyropoulos was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Elias is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Elias had worked at 7 firms, which includes GILFORD SECURITIES INCORPORATED, LEHMAN BROTHERS INC., DREXEL BURNHAM LAMBERT INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED, UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Efstratios Demitrios Argyropoulos | Efstrstios Argyropoulos | Elias Demitrois Argyropoulos

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

May 18, 1988 - November 11, 1993

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

February 24, 1986 - February 4, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 20, 1984 - December 26, 1985

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

October 31, 1979 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361
Past

October 1, 1979 - December 7, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 26, 1978 - November 29, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

April 10, 1972 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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: 4/23/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 4/5/1972
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 4/5/1972
Registered Representative Examination

Current Firm

GS
GILFORD SECURITIES INCORPORATED
GILFORD SECURITIES INCORPORATED

CRD#: 8076 / SEC#: , 8-24230

BD
Terminated by SEC on 12/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/24/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WORTHINGTON, RALPH IVCHAIRMAN AND CEO, CHIEF COMPLIANCE OFFICER472943
SACHS, BONNIE JANE EDELMANDIRECTOR, CFO, COO725100

Disclosures

Regulatory Event21
Arbitration29

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

GILFORD SECURITIES INCORPORATED

CRD#: 8076

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