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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Spiros? Claim Your ProfileSpiros Protopsaltis is a financial advisor with over 38 years of experience in the industry. Spiros is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative and Investment Advisor Representative. Spiros has a broad range of experience, having previously been registered with Morgan Stanley, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., Shearson Lehman Hutton Inc., and E. F. Hutton & Company Inc. Spiros has passed the Series 3, Series 7, Series 63, and Series 65 exams as well as the SIE exam. Spiros is registered in 32 states and specializes in investment advisory services.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
01/14/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LA JOLLA CA)
MO
06/01/2009 - 02/06/2013
MORGAN STANLEY (CHESTERFIELD MO)
MO
08/10/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHESTERFIELD MO)
MO
04/03/1990 - 08/20/2007
CITIGROUP GLOBAL MARKETS INC. (CLAYTON MO)
NY
04/11/1988 - 04/20/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
06/20/1984 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 04/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/1984
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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