Paul C. Kettler
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 Carlisle Kettler was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1982. Paul had worked at 1 firm and has passed the Series 63, Series 15, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 1982 - November 9, 1990
KETTLER & COMPANY
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 15
Date: 3/2/1983
Foreign Currency Options ExaminationSeries 5
Date: 2/7/1983
Interest Rate Options ExaminationCurrent Firm
KETTLER & COMPANY
CRD#: 10530 / SEC#: , 8-26606
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.
