Pauline L. Grochowski
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.
Pauline Latoria Grochowski, who also goes by Pauline Latoria Duby, Paula L Grochowski, was a registered financial professional .
Pauline is a previously registered financial professional and started their career in finance in 1986. Pauline had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2011 - December 31, 2012
AVALON INVESTMENT & SECURITIES GROUP, INC.
March 10, 2009 - October 22, 2009
COUNTRY CAPITAL MANAGEMENT COMPANY
March 24, 2004 - December 31, 2007
CETERA WEALTH SERVICES, LLC
May 17, 1999 - April 1, 2002
AVANTAX INVESTMENT SERVICES, INC.
May 9, 1995 - May 30, 1997
USLIFE EQUITY SALES CORP.
January 28, 1993 - May 10, 1993
GENEVA SECURITIES,INC.
April 17, 1991 - May 4, 1992
MONARCH SECURITIES, INC.
April 13, 1988 - July 5, 1988
CAPITAL BROKERAGE CORPORATION
February 1, 1988 - February 10, 1988
ROWLAND, SIMON & CO.
October 22, 1986 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
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
Current Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
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.
