Paul J. Kacperowski
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.
Paul James Kacperowski was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1982. Paul had worked at 9 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2003 - May 11, 2012
ARDOUR CAPITAL INVESTMENTS, LLC
May 28, 2003 - July 8, 2003
RODMAN & RENSHAW, LLC
February 20, 2002 - February 24, 2003
AVIOR CAPITAL, LLC
December 7, 1999 - February 6, 2002
KC MAY SECURITIES CORP.
February 15, 1999 - January 20, 2000
LABRANCHE FINANCIAL SERVICES, LLC
January 11, 1999 - February 2, 1999
LABRANCHE FINANCIAL SERVICES, LLC
April 22, 1998 - February 8, 1999
LADENBURG CAPITAL MANAGEMENT INC.
July 2, 1996 - March 17, 1998
RODMAN & RENSHAW INC.
May 13, 1996 - July 2, 1996
COMMONWEALTH ASSOCIATES
July 22, 1982 - September 23, 1993
CREDIT AGRICOLE SECURITIES (USA) 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
Series 55
Date: 10/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
ARDOUR CAPITAL INVESTMENTS, LLC
CRD#: 120574 / SEC#: , 8-65317
Contact information
FINRA licenses (9 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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