Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-04-24
WA RA APPROVED 2000-06-23
  • TX RA
    APPROVED_RES
    Since 2023-04-24
  • WA RA
    APPROVED
    Since 2000-06-23

Branch Locations

401 Union St, Seattle, WA 98101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 02/1985 Present
Bank Of America, N.A. Seattle WA 06/2011 Present
Other Businesses

I*819266 For profit or not for profit: Entity For Profit Name of outside business organization: CATA Enterprises Investment related: Y Address of business: Seattle, Washington, 98107-4052 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 12/31/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , CATA Enterprise was formed as part of settling my mothers estate . My 3 siblings and i inherited the building that housed the Ballard Smoke Shop restaurant and bar which our father ran from 1970 until his passing in 2012 .My sister ran the restaurant after dad died She leased the building during covid and is now is still The Ballard Smoke Shop restaurant and there are 3 apartments on the 2nd floor we each own a 25% interest in the building We each have an equal say in the management of the property , My sister in law is the book keeper FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION, NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PHILANTHROPIA FOUNDATION, INVESTMENT RELATED: N, ADDRESS OF BUSINESS: SEATTLE, WASHINGTON 98112, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/1/2012, NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY, NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0, DUTIES: PHILANTHROPIA IS AN 6 PERSON SENIOR ASSISTING LIVING FACILITY THAT IS AFFILIATED WITH ST. DEMETRIOS GREEK ORTHODOX CHURCH. I WOULD BE ASSISTING WITH HOME UPKEEP, RENT AND EMPLOYEE PAY DECISIONS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-15
S63 Uniform Securities Agent State Law Examination 1985-05-20
  • S65 Uniform Investment Adviser Law Examination
    2000-05-15
  • S63 Uniform Securities Agent State Law Examination
    1985-05-20
Other Names
  • Chris Tom Economou

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Seattle, WA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor