Paul M. Masters
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 Michael Masters was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1982. Paul had worked at 3 firms and has passed the SIE, 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
May 10, 1993 - June 2, 2015
OTA LLC
April 17, 1985 - December 10, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1982 - August 17, 1984
MORGAN STANLEY & CO. LLC
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: 2/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
OTA LLC
CRD#: 25816 / SEC#: , 8-43168
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
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.
