Stathis S. Sarris
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.
Stathis Steve Sarris was a registered financial professional .
Stathis is a previously registered financial professional and started their career in finance in 1976. Stathis had worked at 7 firms and has passed the Series 63, Series 3, Series 5, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 1986 - January 1, 1988
GILFORD SECURITIES INCORPORATED
February 6, 1981 - June 19, 1986
UBS FINANCIAL SERVICES INC.
September 15, 1980 - March 4, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1979 - September 22, 1980
BERNARD HEROLD & CO., INC.
October 31, 1978 - March 4, 1980
INDIVIDUAL'S SECURITIES LTD.
June 27, 1977 - August 1, 1980
VERRILLI ALTSCHULER SCHWARTZ INC.
April 15, 1976 - August 6, 1976
FORESTERS FINANCIAL SERVICES, INC.
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 4/12/1976
Registered Representative ExaminationCurrent Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
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.
