Constantine Kartsonas
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 Kartsonas, who also goes by Gus Kartsonas, was a registered financial professional .
Constantine is a previously registered financial professional and started their career in finance in 1988. Constantine had worked at 8 firms and has passed the Series 63, Series 99TO, SIE and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2025 - March 26, 2026
TD SECURITIES (USA) LLC
June 18, 2012 - March 26, 2026
TD PRIME SERVICES LLC
July 19, 2010 - December 7, 2011
BNP PARIBAS SECURITIES CORP.
August 19, 2008 - December 7, 2011
BNP PARIBAS PRIME BROKERAGE, INC.
January 26, 1999 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
December 23, 1998 - February 9, 1999
MORGAN STANLEY & CO. LLC
January 23, 1990 - January 19, 1999
MORGAN STANLEY DW INC.
July 20, 1988 - October 7, 1989
S. B. LEWIS & 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 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 5/1/1977
AMEX Put and Call ExamCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 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.
