Dzianis Klimovich

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CRD#: 5745036

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.

Dzianis Klimovich, who also goes by Dzianis S Klimovich, was a registered financial professional .

Dzianis is a previously registered financial professional and started their career in finance in 2010. Dzianis had worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dzianis S Klimovich

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

March 17, 2022 - February 9, 2024

PALAFOX TRADING LLC

CRD#: 131114

CHICAGO, IL

Past

March 17, 2022 - February 9, 2024

CITADEL CLEARING LLC

CRD#: 172693

Chicago, IL

Past

March 17, 2022 - April 29, 2025

CITADEL SECURITIES LLC

CRD#: 116797

CHICAGO, IL

Past

March 17, 2022 - April 29, 2025

CITADEL SECURITIES INSTITUTIONAL LLC

CRD#: 281102

Chicago, IL

Past

May 10, 2019 - October 25, 2021

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

Past

December 13, 2016 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 2, 2015 - May 14, 2015

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

May 2, 2013 - January 2, 2015

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

October 11, 2011 - May 3, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

MADISON, WI

Past

October 11, 2011 - May 3, 2013

LPL FINANCIAL LLC

CRD#: 6413

MADISON, WI

Past

May 18, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

MADISON, WI

Past

March 16, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

MADISON, WI

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

IAR

Series 66

Date: 5/17/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/14/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/15/2010

General Securities Representative Examination

Current Firm

PALAFOX TRADING LLC

CRD#: 131114 / SEC#: , 8-66420

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

830 Brickell Plaza, Miami, FL 33131

Mailing Address

830 Brickell Plaza, Miami, FL 33131

Phone number

(305) 929-6851

Established

Delaware since 01/16/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PALAFOX HOLDCO LLC	MEMBER
CARROLL, SEAN VINCENT	CHIEF EXECUTIVE OFFICER	2518443
CARROLL, SEAN VINCENT	CHIEF COMPLIANCE OFFICER	2518443
CITADEL ADVISORS LLC	MANAGER
HENRY, STEVEN MICHAEL	CHIEF ACCOUNTING OFFICER	5587809

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.

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Advisor Monitoring

Firm Stability Insights

Dzianis Klimovich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITADEL CLEARING LLC

CITADEL SECURITIES LLC

CITADEL SECURITIES INSTITUTIONAL LLC

BOFA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SG AMERICAS SECURITIES, LLC

NEWEDGE USA, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/17/2010

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/14/2013

Series 7

Date: 3/15/2010

Current Firm

PALAFOX TRADING LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

PALAFOX TRADING LLC

TRUST BUT VERIFY

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