Paul D. Kessler
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 David Kessler JR, who also goes by Paul David Kessler III, Paul David Kessler, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1982. Paul had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1992 - August 6, 1992
SFS FINANCIAL SERVICES, INC.
January 11, 1990 - June 15, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - February 6, 1990
LEHMAN BROTHERS INC.
June 28, 1982 - April 11, 1988
E. F. HUTTON & COMPANY 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 8
Date: 5/10/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SFS FINANCIAL SERVICES, INC.
CRD#: 27304 / SEC#: , 8-43134
Contact information
Documents
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.
