Patricia E. Glovsky

POLYGON CAPITAL ADVISORS

Sausalito, CA 94965

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CRD#: 1779459

Professional summary

Patricia Ellen Glovsky, who also goes by Patti Glovsky, is a registered financial professional currently at POLYGON CAPITAL ADVISORS, LLC located in Sausalito, California.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 1995. Patricia has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patti Glovsky

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patricia Ellen Glovsky's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 30, 2013 - Present

POLYGON CAPITAL ADVISORS, LLC

Office #1: 15 Second Street #9, Sausalito, CA 94965Office #2: 15 Second Street #9, Sausalito, CA 94965

CRD#: 159143

Sausalito, CA

Past

September 30, 2009 - January 28, 2013

WAVEEDGE PARTNERS LLC

CRD#: 126182

WOODSIDE, CA

Past

February 14, 2007 - March 17, 2008

EAST PEAK ADVISORS, LLC

CRD#: 119977

GREENBRAE, CA

Past

September 18, 2003 - September 7, 2004

SAINTS ADVISORS LLC

CRD#: 117126

DENVER, CO

Past

March 26, 2003 - September 2, 2003

INTERNET SECURITIES

CRD#: 102800

OAKLAND, CA

Past

November 10, 1999 - March 27, 2001

FIELD LOGAN & CO., LLC

CRD#: 44409

GREENBRAE, CA

Past

June 6, 1996 - November 25, 1996

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

December 5, 1995 - April 19, 1996

KAUFMAN BROS., L.P.

CRD#: 37909

NEW YORK, NY

Past

February 7, 1995 - February 28, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/30/2013)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/1999

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/15/1991

National Commodity Futures Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

POLYGON CAPITAL ADVISORS, LLC

CRD#: 159143 / SEC#: , 8-68965

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

15 Second Street #9, Sausalito, CA 94965

Mailing Address

15 Second Street #9, Sausalito, CA 94965

Phone number

(415) 775-3300

Established

Delaware since 04/03/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
POLYGON CAPITAL LLC	MEMBER
GLOVSKY, PATRICIA ELLEN	MANAGER, CCO, EXEC. REP., AML SUPER.	1779459

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Patricia E. Glovsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patricia Ellen Glovsky's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAVEEDGE PARTNERS LLC

EAST PEAK ADVISORS, LLC

SAINTS ADVISORS LLC

INTERNET SECURITIES

FIELD LOGAN & CO., LLC

ROTH CAPITAL PARTNERS, LLC

KAUFMAN BROS., L.P.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1999

Series 63

Date: 9/21/1999

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/9/1999

Series 3

Date: 2/15/1991

Series 14

Date: 1/2/2023

Series 24

Date: 1/12/2008

FINRA

Current Firm

POLYGON CAPITAL ADVISORS, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

POLYGON CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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