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RC

Roger H. Chlowitz

Some features on this profile are disabled
CRD#: 501445
RC

Professional summary

Roger Harry Chlowitz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roger is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Roger had worked at 10 firms, which includes CAPITAL MARKETS GROWTH CORPORATION, ATLANTIC PACIFIC FINANCIAL INC., GLOBAL STRATEGIES GROUP INC., COLUMBUS FINANCIAL INC., FORTRESS SECURITIES INC., INVESTACORP INC., MUNICICORP OF CALIFORNIA, CITIGROUP GLOBAL MARKETS INC., KARSCH & CO. INC., CALIFORNIA MUNICIPAL INVESTORS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roger H Chlowitz

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

May 30, 1996 - June 13, 1997

CAPITAL MARKETS GROWTH CORPORATION

BD
CRD#: 36302
VENTURA, CA
Past

January 30, 1996 - June 7, 1996

ATLANTIC PACIFIC FINANCIAL, INC.

BD
CRD#: 37067
Past

June 28, 1995 - January 15, 1996

GLOBAL STRATEGIES GROUP, INC.

BD
CRD#: 27414
NEW YORK, NY
Past

August 5, 1992 - May 26, 1995

COLUMBUS FINANCIAL, INC.

BD
CRD#: 22709
BEVERLY HILLS, CA
Past

April 11, 1991 - August 4, 1992

FORTRESS SECURITIES, INC.

BD
CRD#: 19613
Past

August 5, 1988 - April 16, 1991

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

April 10, 1985 - August 6, 1988

MUNICICORP OF CALIFORNIA

BD
CRD#: 7184
Past

June 13, 1984 - August 2, 1984

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

December 12, 1979 - August 6, 1988

MUNICICORP OF CALIFORNIA

BD
CRD#: 7184
WOODLAND HILLS, CA
Past

May 2, 1978 - July 28, 1979

KARSCH & CO., INC.

BD
CRD#: 7553
Past

December 15, 1976 - May 21, 1978

CALIFORNIA MUNICIPAL INVESTORS, INC.

BD
CRD#: 7311

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: 10/15/1979
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 40
Date: 6/19/1978
Registered Principal Examination

Current Firm

CM
CAPITAL MARKETS GROWTH CORPORATION
CAPITAL MARKETS GROWTH CORPORATION

CRD#: 36302 / SEC#: , 8-47129

BD
Terminated by SEC on 02/09/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 02/23/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

CAPITAL MARKETS GROWTH CORPORATION

CRD#: 36302

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