Anthony M. Palovchik
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anthony Michael Palovchik SR, who also goes by Anthony Michael Palovchik, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1984. Anthony had worked at 4 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 30, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2003 - September 22, 2003
ASHTON-CLAYTON FINANCIAL GROUP, LLC
October 17, 2001 - April 25, 2003
S. B. CANTOR & CO., INC.
April 17, 1998 - June 24, 1999
RODMAN & RENSHAW, LLC
August 8, 1997 - February 10, 1998
RODMAN & RENSHAW, LLC
October 25, 1996 - May 4, 2001
S. B. CANTOR & CO., INC.
August 25, 1995 - January 3, 1997
PATTERSON TRAVIS, INC.
April 24, 1989 - November 17, 1995
RODMAN & RENSHAW, LLC
July 26, 1984 - August 14, 1995
S. B. CANTOR & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
ASHTON-CLAYTON FINANCIAL GROUP, LLC
CRD#: 103720 / SEC#: , 8-52206
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASHTON, RICHARD PHILLIP JR | PRESIDENT/COMPLIANCE/ROP | 2070630 |
| JOHN TAPINAS | MEMBER | |
| PRINZI, RICHARD | MEMBER | 4921773 |
| RUSSO PICCIURRO MALOY LLC | MEMBER | |
| TECUMSEH HOLDING CORPORATION AND HOGAN & HARTSON AS RECEIVER AND LORETTA E. LYNCH OF HOGAN AND HARTSON AS CONTACT PERSON | MEMBER | |
| BROWN, MICHAEL OWEN | FINOP | 1658070 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
