Christos J. Athans

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CRD#: 855802

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.

Christos John Athans was a registered financial professional .

Christos is a previously registered financial professional and started their career in finance in 1987. Christos had worked at 13 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 7, Series 1, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Insurance Agent - Life Only, 20 hours a month. Supervisor Maintenance - Part time, Neuro Restorative Health Care - Assisted Living Center - 60 hours a month

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

January 29, 2021 - April 18, 2022

NAMCOA

RIA

CRD#: 133978

Sarasota, FL

Past

April 26, 2019 - August 10, 2019

MSC - BD, LLC

CRD#: 142927

LAKE OSWEGO, OR

Past

November 28, 2017 - December 5, 2019

NAMCOA

RIA

CRD#: 133978

SARASOTA,, FL

Past

December 10, 2014 - January 7, 2016

NAMCOA

RIA

CRD#: 133978

SARASOTA, FL

Past

January 20, 2012 - September 17, 2012

MSC - BD, LLC

CRD#: 142927

SARASOTA, FL

Past

January 6, 2010 - September 27, 2012

NAMCOA

RIA

CRD#: 133978

SARASOTA, FL

Past

November 4, 2009 - January 15, 2010

MSC - BD, LLC

CRD#: 142927

SARASOTA, FL

Past

October 26, 2007 - May 2, 2008

MSC - BD, LLC

CRD#: 142927

LAKE OSWEGO, OR

Past

May 24, 2005 - December 14, 2005

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

December 4, 2002 - May 24, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

February 26, 2002 - December 2, 2002

VFINANCE INVESTMENTS, INC

CRD#: 44962

BOCA RATON, FL

Past

June 19, 2001 - February 28, 2002

ROSENTHAL COLLINS SECURITIES, L.L.C

CRD#: 41915

CHICAGO, IL

Past

October 15, 1999 - June 13, 2001

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

February 26, 1997 - October 26, 1999

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

November 26, 1996 - March 5, 1997

CRISPIN KOEHLER SECURITIES

CRD#: 10596

TAMPA, FL

Past

July 22, 1993 - December 9, 1996

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

August 19, 1992 - August 11, 1993

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

March 16, 1992 - August 31, 1992

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

December 14, 1988 - March 19, 1992

KOBER FINANCIAL CORP.

CRD#: 17551

ENGLEWOOD, CO

Past

February 5, 1988 - May 16, 1988

WELLSHIRE SECURITIES, INC.

CRD#: 17939

Past

December 22, 1987 - January 26, 1988

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/21/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 4/26/2019

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 4/19/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 8/5/1978

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/15/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/1994

General Securities Principal Examination

Current Firm

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

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Contact information

Main Address

107 Kilson Drive Suite 206, Mooresville, NC 28117

Mailing Address

999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

Phone number

(239) 593-5525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/31/2025)

ADV WRAP BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 312,332,592

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.

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Christos J. Athans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MSC - BD, LLC

NAMCOA

NAMCOA

MSC - BD, LLC

NAMCOA

MSC - BD, LLC

MSC - BD, LLC

NEWBRIDGE SECURITIES CORPORATION

GUNNALLEN FINANCIAL, INC

VFINANCE INVESTMENTS, INC

ROSENTHAL COLLINS SECURITIES, L.L.C

GUNNALLEN FINANCIAL, INC

BARRON CHASE SECURITIES, INC.

CRISPIN KOEHLER SECURITIES

BARRON CHASE SECURITIES, INC.

FIRST ASSET MANAGEMENT, INC.

DONALD & CO. SECURITIES INC.

KOBER FINANCIAL CORP.

WELLSHIRE SECURITIES, INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

NAMCOA

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2009

Series 63

Date: 2/10/1989

Series 82TO

Date: 4/26/2019

SIE

Date: 4/19/2019

Series 7

Date: 12/19/1987

Series 1

Date: 8/5/1978

Series 4

Date: 3/15/1999

Series 24

Date: 11/18/1994

Current Firm

NAMCOA

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAMCOA

TRUST BUT VERIFY

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