Paul A. Stephan
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 Anthony Stephan JR, who also goes by Paul Anthony Stephan, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1999 - April 30, 1999
JWGENESIS FINANCIAL GROUP, INC
June 22, 1983 - October 18, 1990
BLINDER, ROBINSON & CO., 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
Current Firm
JWGENESIS FINANCIAL GROUP, INC
CRD#: 38166 / SEC#: , 8-48277
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JWGENESIS FINANCIAL, INC | HOLDING COMPANY | |
| LEEDS, MARSHALL TODD | PRESIDENT, CEO | 1014569 |
| CAROTHERS, SCOTT WILLIAM | CFO | 1899247 |
| GLASER, GREGG STEVEN | EXEC VP, DIRECTOR, TREASURER | 1527784 |
| LEVITT, ROBERT WILLIAM | CCO, SROP, CROP | 2576873 |
| MARKS, JOEL ELLIOT | DIRECTOR | 1189929 |
| SCARLETT, CHARLES E | EXEC VP, SECRETARY | 2130231 |
| WEINBERG, ARNOLD NATHAN | COO | 461717 |
Disclosures
| Regulatory Event | 2 |
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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