Charles J. Paviolitis
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.
Charles John Paviolitis was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1975. Charles had worked at 13 firms and has passed the Series 63, SIE, PC, Series 7, Series 1, Series 8 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 22, 2010 - January 9, 2015
INSPEREX LLC
January 16, 2006 - December 3, 2008
UBS SECURITIES LLC
April 14, 1997 - January 16, 2006
UBS FINANCIAL SERVICES INC.
September 4, 1990 - April 1, 1997
WELLS FARGO CLEARING SERVICES, LLC
January 2, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
November 2, 1989 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
June 5, 1989 - November 9, 1989
RAYMOND JAMES & ASSOCIATES, INC.
May 22, 1989 - June 7, 1989
CITIGROUP GLOBAL MARKETS INC.
September 22, 1980 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 4, 1980 - October 12, 1980
CIBC WORLD MARKETS CORP.
November 29, 1977 - February 4, 1980
HANAUER, STERN & COMPANY,INCORPORATED
February 24, 1977 - November 26, 1977
O'NEILL & FELDMAN, INC.
December 1, 1975 - June 27, 1976
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 12/26/1982
AMEX Put and Call ExamSeries 1
Date: 11/24/1975
Registered Representative ExaminationSeries 8
Date: 9/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 3/5/1977
Registered Principal ExaminationCurrent Firm
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 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.
