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Current Employers
Anovest Investment Advisors

3225 Shallowford Road Suite 220, Marietta, GA 30062 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-04-03
GA RA APPROVED 2007-11-27
  • TX RA
    APPROVED_RES
    Since 2018-04-03
  • GA RA
    APPROVED
    Since 2007-11-27

Branch Locations

3225 Shallowford Road Suite 220, Marietta, GA 30062 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Anovest Marietta GA 08/1986 Present
Anovest Investment Advisors, Inc. Marietta GA 09/2004 Present
Anovest Financial Services, Inc. Marietta GA 11/2004 Present
  • 08/1986 → Present
    Anovest
    Marietta, GA
  • 09/2004 → Present
    Anovest Investment Advisors, Inc.
    Marietta, GA
  • 11/2004 → Present
    Anovest Financial Services, Inc.
    Marietta, GA
Previous Registrations
Other Businesses

SINCE 10/12/2000, REAL ESTATE AGENT - ALL ATLANTA REALTY, 3225 SHALLOWFORD RD., BLDG #100, MARIETTA, GA 30062; 9 HOURS/YEAR (CE) WHICH ARE ALL OUTSIDE OF SECURITIES TRADING HOURS. Since 10/19/2018 REAL ESTATE AGENT IN CO - EQUITY COLORADO, 7887 E BELLEVIEW AVE, STE 175, ENGLEWOOD, CO 80111; 9 HOURS/YEAR (CE) WHICH ARE ALL OUTSIDE OF SEECURITES TRADING HOURS. SINCE 09/13/2004, CEO/CCO/IAR-ANOVEST INVESTMENT ADVISORS, INC (REGISTERED INVESTMENT ADVISER); SAME ADDRESS AS ANOVEST FINANCIAL SERVICES; INVESTMENT-RELATED; # OF HOURS/MONTH IS NOT DETERMINABLE SINCE HOURS WORKED ARE INTERSPERSED WITH ANOVEST FINANCIAL SERVICES HOURS; DUTIES INCLUDE INVESTMENT MANAGEMENT AND PLANNING AND COMPLIANCE REVIEWS IN ADDITION TO DUTIES CUSTOMARY FOR CEO.. SINCE 01/22/2002, TTEE OF JEAN V GRAHEK TRUST; NOT INVESTMENT-RELATED; SAME ADDRESS AS ANOVEST FINANCIAL SERVICES; 2 HOURS/YEAR; 0 HOURS DURING TRADING HOURS; DUTIES ARE THOSE CUSTOMARILY PERFORMED BY TRUSTEES/EXECUTORS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-31
S63 Uniform Securities Agent State Law Examination 1988-09-26
  • S65 Uniform Investment Adviser Law Examination
    1998-08-31
  • S63 Uniform Securities Agent State Law Examination
    1988-09-26
Other Names
  • Athanasios Nick Bafas
  • Tom Bafas

View on SEC IAPD

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