Yvonne S. Pilichowski
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.
Yvonne Sylvia Pilichowski, who also goes by Yvonne Sylvia Keora, was a registered financial professional .
Yvonne is a previously registered financial professional and started their career in finance in 1988. Yvonne had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 28, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1995 - August 28, 2017
JOHN JAMES INVESTMENTS, LTD.
April 4, 1990 - June 22, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 4, 1990 - June 22, 1990
PRUCO SECURITIES, LLC.
November 8, 1988 - December 18, 1992
NETWORK 1 FINANCIAL SECURITIES INC.
January 19, 1988 - November 28, 1988
EQUITIES INTERNATIONAL SECURITIES, 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 28
Date: 11/22/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
JOHN JAMES INVESTMENTS, LTD.
CRD#: 37672 / SEC#: , 8-47904
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
