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PK

Polizois P. Katsaros

Some features on this profile are disabled
CRD#: 2526951
PK

Professional summary

Polizois Paul Katsaros was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Polizois is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Polizois had worked at 12 firms, which includes THE ROCKWELL FINANCIAL GROUP INC., SILVER LEAF PARTNERS LLC, REID & RUDIGER LLC, SIGNATOR INVESTORS INC., CHASE INVESTMENT SERVICES CORP., CANTELLA & CO. INC., EMERSON EQUITY LLC, PACIFIC COAST SECURITIES LLC, ARISTATRADE SECURITIES LLC, R.D. WHITE & CO. INC., NEBRASKA HUDSON COMPANY INC., NICHOLS SAFINA LERNER & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Katsaros | Polijoe Katsaros

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 24, 2016 - November 3, 2017

THE ROCKWELL FINANCIAL GROUP, INC.

BD
CRD#: 26153
HICKSVILLE, NY
Past

September 22, 2015 - October 17, 2017

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

January 12, 2010 - September 4, 2015

THE ROCKWELL FINANCIAL GROUP, INC.

BD
CRD#: 26153
Fresh Meadows, NY
Past

June 19, 2009 - September 24, 2009

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

September 3, 2008 - January 23, 2009

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
GREAT NECK, NY
Past

July 16, 2007 - June 13, 2008

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

November 16, 2006 - July 11, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

January 6, 2005 - November 17, 2006

CANTELLA & CO., INC.

BD
CRD#: 13905
ASTORIA, NY
Past

May 6, 2004 - December 31, 2004

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

April 25, 2003 - May 4, 2004

PACIFIC COAST SECURITIES LLC

BD
CRD#: 109681
ASTORIA, NY
Past

October 30, 2001 - March 3, 2003

ARISTATRADE SECURITIES, LLC

BD
CRD#: 112535
HAUPPAUGE, NY
Past

May 1, 1997 - July 10, 2000

R.D. WHITE & CO., INC.

BD
CRD#: 7011
NEW YORK, NY
Past

May 30, 1996 - April 18, 1997

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

January 9, 1995 - March 21, 1995

NICHOLS, SAFINA, LERNER & CO. INC.

BD
CRD#: 35476
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/4/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/4/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/3/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/21/1997
General Securities Principal Examination

Current Firm

TR
THE ROCKWELL FINANCIAL GROUP, INC.
MULLINS & COMPANY, INC. | THE ROCKWELL FINANCIAL GROUP, INC.

CRD#: 26153 / SEC#: , 8-42399

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
240 W. Old Country Road . Suite 3, Hicksville, NY 11801
Mailing Address
240 W. Old Country Road . Suite 3, Hicksville, NY 11801
Phone number
(516) 499-9453
Established
New Jersey since 01/05/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROCKWELL CAPITAL CORP.PARENT COMPANY
DUNN, HUGH DANIEL JRVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2219252
HALKITIS, MICHAEL JOHNPESIDENT, FINOP. SROP, CROP2246940

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

THE ROCKWELL FINANCIAL GROUP, INC.

CRD#: 26153

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