Efstathios N Karanikolaidis is a professional in the financial industry, working as a Managing Director in the J.P. Morgan Securities Leveraged Finance Group. He holds a Series 63 license, which is described by the North American Securities Administrators as:
“The Uniform Securities Agent State Law Examination was developed by NASAA in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant’s knowledge and understanding of state law and regulations.”
As Efstathios N Karanikolaidis knows, a Series 63 license is not a tell all for workplace performance, or as told by NASAA:
“Successful completion of the Uniform Securities Agent Law Examination does not relieve a candidate of the personal responsibility to know and to abide by the specific requirements of the securities laws and regulations of the states in which the candidate transacts business. Furthermore, although successful completion of the examination may satisfy a portion of the requirements of a particular state, it does not convey the right to transact business prior to being granted a license or registration by that state. NASAA believes that the Uniform Securities Agent Law Examination will significantly benefit the industry and state regulators alike by such uniformity. The investing public will be afforded a greater degree of protection through enhanced uniform qualification standards.”
Efstathios N Karanikolaidis is a financial professional, who currently resides in Riverside, CT and has had a fulfilling professional career. Before graduate school, he served in the 114 Combat Wing of the Hellenic Air Force. He was an Assistant Air Operations Officer, responsible for the planning and operations of combat exercises while also performing analysis on air assets and combat readiness.
Efstathios N Karanikolaidis was also educated at the Athens University of Economics & Business, where he earned a Bachelor of Science in Management & Business Administration. He then attended the William E. Simon Graduate School of Business Administration at the University of Rochester for his MBA, which he obtained in June of 2002.
Following his education and military experience, Efstathios N Karanikolaidis went on to work for Arthur Andersen in Athens, Greece as an Analyst in their Financial Services Industry Group. As an analyst, he helped in the due diligence efforts to support various m&a assignments, as the financial services sector was consolidating in Europe in the late 1990s.
Efstathios N Karanikolaidis has had a successful career that led to his current position at J.P. Morgan Securities LLC.