Mccormick R. Covington
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.
Mccormick Royall Covington, who also goes by Mickey Covington, was a registered financial professional .
Mccormick is a previously registered financial professional and started their career in finance in 1970. Mccormick had worked at 7 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 1997 - February 4, 2003
LADENBURG THALMANN & CO. INC.
October 6, 1995 - April 11, 1997
MESIROW FINANCIAL, INC.
August 23, 1995 - September 25, 1995
RODMAN & RENSHAW INC.
January 28, 1995 - July 31, 1995
UBS FINANCIAL SERVICES INC.
November 4, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 22, 1988 - October 9, 1992
MORGAN STANLEY DW INC.
September 10, 1970 - November 7, 1988
KEYBANC CAPITAL MARKETS 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
PC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 11/7/1962
Registered Representative ExaminationSeries 40
Date: 9/5/1970
Registered Principal ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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