Joseph M. Dworsky
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.
Joseph Marc Dworsky was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 10 firms and has passed the Series 63, SIE 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 1, 2017 - March 29, 2019
PICKWICK CAPITAL PARTNERS, LLC
October 9, 2013 - November 4, 2015
FIRST LIBERTIES FINANCIAL
June 10, 2008 - March 28, 2012
COVA CAPITAL PARTNERS LLC
May 13, 2002 - November 13, 2006
LACONIA CAPITAL CORPORATION
February 10, 2000 - August 25, 2000
ING FUNDS DISTRIBUTOR, INC.
January 16, 1998 - February 10, 2000
REICH & TANG DISTRIBUTORS, INC.
September 18, 1996 - January 13, 1998
CHASE INVESTMENT SERVICES CORP.
May 28, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
November 2, 1992 - January 4, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1991 - August 18, 1992
LEHMAN BROTHERS 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
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
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.
