Paul K. Whitcomb
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 Kent Whitcomb 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 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 1999 - November 15, 2022
SECURE PLANNING, LLC
June 22, 1998 - November 15, 2022
SECURE PLANNING, LLC
June 19, 1983 - May 16, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 23, 1983 - February 25, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
August 5, 1982 - March 30, 1998
OSAIC FS, INC.
Primary Firm SEC Registration
SECURE PLANNING, LLC
CRD#: 42179 / SEC#: 801-55630, 8-49737
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/17/1973
Registered Representative ExaminationCurrent Firm
SECURE PLANNING, LLC
CRD#: 42179 / SEC#: 801-55630, 8-49737
Contact information
SEC notice filing (8 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 868 |
| AUM (Assets Under Management) | $ 169,334,279 |
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.
