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Brian Dominick Paonessa

CRD# 1074068·Registered 1982 - 1992
Barred: Brian Dominick Paonessa was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Brian Dominick Paonessa was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 1982 - 1992. Brian had worked at 7 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

STUART, COLEMAN & CO., INC.·CRD# 8642
BD
April 7, 1992 - September 23, 1992
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
April 24, 1989 - March 2, 1992
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
April 10, 1989 - April 18, 1989
LEHMAN BROTHERS INC.·CRD# 7506
BD
May 14, 1988 - April 19, 1989
E. F. HUTTON & COMPANY INC·CRD# 235
BD
October 20, 1987 - May 14, 1988
MORGAN STANLEY DW INC.·CRD# 7556
BD
August 3, 1984 - October 26, 1987
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
July 7, 1983 - August 14, 1984
HANAUER, STERN & COMPANY,INCORPORATED·CRD# 7077
BD
November 24, 1982 - June 20, 1983

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Current Firm

SC
STUART, COLEMAN & CO., INC.

STUART, COLEMAN & CO., INC.

CRD#: 8642 / SEC#: 8-25824
BD
Terminated by SEC on 08/02/1999

Contact Information

Established

New York since 12/05/1980

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1982About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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