Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dimitrios? Claim Your ProfileDimitrios Kostopoulos is a financial advisor with UBS Financial Services Inc. located in NEW YORK, NY. Dimitrios has been in the financial services industry since January 12, 2006. Dimitrios is a registered representative and investment advisor representative in New Jersey. Dimitrios holds Series 7, 9, 10, 24, 31, 52TO, 63, 65, 99TO, and SIE licenses. Dimitrios has previously worked at CITI PRIVATE ADVISORY, LLC, CITIGROUP GLOBAL MARKETS INC., LEBENTHAL & CO., LLC, MUNIAXIS LEBENTHAL LLC, WOODSTOCK FINANCIAL GROUP, INC., ROCKWELL GLOBAL CAPITAL LLC, ESPOSITO SECURITIES, LLC, NBGI SECURITIES INC., J.P. MORGAN SECURITIES INC., ADVEST, INC., and EDGETRADE.COM, INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
08/02/2018 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
04/18/2017 - 08/07/2018
CITI PRIVATE ADVISORY, LLC (New York NY)
NY
05/09/2016 - 08/07/2018
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/19/2013 - 05/02/2016
LEBENTHAL & CO., LLC (NEW YORK NY)
NY
09/24/2013 - 12/01/2014
MUNIAXIS LEBENTHAL LLC (New York NY)
NY
03/20/2013 - 08/14/2013
WOODSTOCK FINANCIAL GROUP, INC. (NEW YORK NY)
NY
05/23/2011 - 03/19/2013
ROCKWELL GLOBAL CAPITAL LLC (NEW YORK NY)
NY
06/22/2010 - 09/30/2010
ESPOSITO SECURITIES, LLC (NEW YORK NY)
NY
12/10/2007 - 06/03/2009
NBGI SECURITIES INC. (NEW YORK NY)
NY
11/05/2007 - 11/21/2007
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CT
08/28/2002 - 08/12/2005
ADVEST, INC. (HARTFORD CT)
NJ
02/09/2001 - 09/21/2001
EDGETRADE.COM, INC. (JERSEY CITY NJ)
IA
Issued 03/06/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/11/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/30/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 11/02/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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