Ty Govatos
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.
Ty Govatos, who also goes by Panagoti Aristedes Govatos, was a registered financial professional .
Ty is a previously registered financial professional and started their career in finance in 1970. Ty had worked at 10 firms and has passed the Series 63, Series 87, Series 86, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2003 - November 15, 2012
C. L. KING & ASSOCIATES, INC.
December 17, 2001 - January 6, 2003
CJS SECURITIES, INC.
August 3, 1982 - December 21, 1998
PERSHING LLC
September 16, 1977 - June 21, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 20, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
August 11, 1972 - January 2, 1975
KUHN, LOEB & CO. INTERNATIONAL
August 11, 1972 - January 2, 1975
KUHN LOEB & CO. INCORPORATED
April 28, 1970 - June 21, 1972
F S SMITHERS & 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 000
Date: 3/20/1969
General Securities Principal ExaminationSeries 1
Date: 7/12/1967
Registered Representative ExaminationCurrent Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 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.
