Paul G. Hauf
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 Gerard Hauf was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 8 firms and has passed the Series 63, Series 7, Series 6, Series 28 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 28, 1994 - November 29, 1995
SECURITIES AMERICA, INC.
August 16, 1993 - December 22, 1993
SECURITIES SERVICE NETWORK, LLC
June 18, 1990 - August 3, 1993
ARLINGTON SECURITIES, INC.
January 3, 1990 - June 21, 1990
AMERICAN CAPITAL EQUITIES, INC.
December 12, 1988 - January 4, 1990
GENEVA SECURITIES,INC.
July 30, 1986 - December 22, 1988
CORNWALL SECURITIES, INC.
December 10, 1983 - August 13, 1986
CARDELL & ASSOCIATES, INCORPORATED
January 17, 1983 - December 12, 1983
MONARCH SECURITIES, 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 28
Date: 2/20/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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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