Harold William Gianopulos (CRD #1743800) Has a Regulatory Disclosure on FINRA BrokerCheck

Harold William Gianopulos (CRD #1743800) was previously registered as a broker. His FINRA BrokerCheck report shows one regulatory disclosure. We reviewed his BrokerCheck report on April 27, 2026. If you worked with Harold Gianopulos and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Actions

Harold Gianopulos’s FINRA BrokerCheck Report reflects one regulatory disclosure. A summary of the disclosure is below.

On February 26, 2026, the Florida Office of Financial Regulation entered a final order involving Harold Gianopulos. Harold Gianopulos FINRA BrokerCheck states that the Office found he violated section 517.12(4), Florida Statutes. The finding involved advice from Florida without proper registration as an associated person of a federal covered adviser.

The order required Harold Gianopulos to cease and desist from violations of Chapter 517.12(4), Florida Statutes. Harold Gianopulos FINRA BrokerCheck also reports a civil and administrative fine of $6,500. Gianopulos neither admitted nor denied the allegations. He consented to the entry of the findings.

The broker statement says he notified his prior firm about his plan to live mainly in Florida. It also says he planned to work from his home there. Harold Gianopulos FINRA BrokerCheck says he believed the firm would obtain the needed registrations. The statement says the Florida OFR later approved his IAR registration in Florida after the stipulation and consent agreement.

Rule Summary #1: FINRA Rule 1210 (Registration Requirements)

FINRA Rule 1210 covers registration requirements for associated persons. It helps ensure registered persons have the proper approval for their roles.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires high standards of commercial honor. Registration issues may raise concerns about fair dealing and compliance controls.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Harold Gianopulos:

Was previously registered as a broker. BrokerCheck states that he is not currently registered.

Has passed the Securities Industry Essentials (SIE) exam and Series 7. Harold Gianopulos has also passed Series 24 and Series 63.

Was previously registered with firms that include Foreside Financial Services, LLC, Kovitz Securities, LLC, and Harrisdirect LLC.

Kurta Law Can Help

If you have worked with Harold Gianopulos, you may have concerns about his activity. Kurta Law may be able to help. A securities attorney can assess possible claims. The attorney can also explain whether losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts. An attorney can also explain possible next steps.