Paul W. Smith
Professional summary
Paul Wescoe Smith was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Paul had worked at 7 firms, which includes BOLTON GLOBAL CAPITAL, PHILADELPHIA BROKERAGE CORPORATION, TUCKER ANTHONY INCORPORATED, JANNEY MONTGOMERY SCOTT LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2007 - February 14, 2017
BOLTON GLOBAL CAPITAL
January 24, 2002 - May 7, 2007
PHILADELPHIA BROKERAGE CORPORATION
June 30, 2000 - February 5, 2002
TUCKER ANTHONY INCORPORATED
January 9, 1990 - July 13, 2000
JANNEY MONTGOMERY SCOTT LLC
April 11, 1988 - January 24, 1990
LEHMAN BROTHERS INC.
January 2, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
December 21, 1982 - February 2, 1987
PRUDENTIAL EQUITY GROUP, LLC
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
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
Red Flags
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