Constantine Pelos has been Chief Compliance Officer of TradeWinds Asset Management since November 2024, is not listed as a control person, but directly owns under 5% of the firm.
Tradewinds Asset Management, LLC is a Portland, OR firm with $135M under management, 261 clients and 4 advisers across 2 offices, as of its September 2026 filing.
No adviser firm registrations are on Constantine Pelos’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 1 November 1990 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 December 1983 |
| Series 7 | General Securities Representative Examination | 19 November 1983 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Constantine Andrew Pelos
- CRD
- 1074631
- Firm
- TradeWinds Asset Management · CRD 323879
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Constantine Pelos work?
Constantine Pelos has been Chief Compliance Officer of Tradewinds Asset Management, LLC since November 2024.
Does Constantine Pelos have a current investment-adviser registration?
Constantine Pelos has a current broker registration and no current investment-adviser registration.
What exams has Constantine Pelos passed?
Constantine Pelos has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 14 and Series 99TO. The earliest, the Series 7, was passed in November 1983. FINRA credited Constantine Pelos with the SIE, which began in October 2018.
Is Constantine Pelos registered with FINRA?
Yes. Constantine Pelos has a current broker registration, under CRD 1074631.
Source: FINRA BrokerCheck
How can I verify Constantine Pelos’ record?
Search CRD 1074631 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Constantine Pelos’ full registration record.