Spiro L. Bakiras
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.
Spiro Luke Bakiras, who also goes by Spiro L Bakiras, Spiro Bakiras, Steve Bakiras, was a registered financial professional .
Spiro is a previously registered financial professional and started their career in finance in 1977. Spiro had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2007 - May 29, 2018
WELLS FARGO SECURITIES, LLC
May 5, 2003 - November 26, 2007
A. G. EDWARDS & SONS, INC.
June 28, 2001 - July 3, 2002
MACQUARIE CORPORATE FINANCE (USA) INC.
March 11, 1997 - February 10, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1995 - October 2, 1996
PRUDENTIAL EQUITY GROUP, LLC
January 24, 1995 - May 8, 1995
RICE FINANCIAL PRODUCTS COMPANY
April 7, 1992 - January 25, 1993
AMERINATIONAL FINANCIAL SERVICES, INC.
February 24, 1988 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
December 5, 1977 - March 29, 1988
GOLDMAN SACHS & CO. LLC
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
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
