Paul M. Foley
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 Michael Foley was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 23 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2019 - December 16, 2022
PICKWICK CAPITAL PARTNERS, LLC
August 13, 2015 - October 30, 2018
CG CAPITAL MARKETS, LLC
November 7, 2013 - August 12, 2015
CAPITAL GUARDIAN, LLC
March 13, 2012 - October 10, 2013
DALMORE GROUP LLC
November 23, 2010 - February 15, 2012
PIERPONT CAPITAL ADVISORS LLC
September 16, 2010 - December 2, 2010
COHEN & COMPANY CAPITAL MARKETS, LLC
January 21, 2010 - October 1, 2010
COHEN & COMPANY SECURITIES, LLC
November 6, 2008 - January 19, 2010
BEDROK SECURITIES LLC
January 16, 2007 - November 24, 2008
INNER HARBOR ASSET MANAGEMENT
April 28, 2006 - November 24, 2008
THE RIDERWOOD GROUP INCORPORATED
June 1, 2005 - May 16, 2006
GREENWICH GLOBAL, LLC
September 11, 2003 - January 4, 2005
BLAYLOCK & COMPANY, INC.
February 26, 2003 - September 8, 2003
MORGAN JOSEPH TRIARTISAN LLC
January 27, 2003 - February 26, 2003
CANTOR FITZGERALD & CO.
September 2, 2002 - January 17, 2003
CBA SECURITIES LLC
June 4, 1998 - January 4, 2000
CREDIT AGRICOLE SECURITIES (USA) INC.
April 30, 1992 - December 19, 1997
CITIGROUP GLOBAL MARKETS INC.
April 19, 1991 - June 9, 1992
CITATION FINANCIAL GROUP, L.P.
June 29, 1989 - May 16, 1991
KIDDER, PEABODY & CO. INCORPORATED
September 17, 1987 - May 15, 1989
MORGAN STANLEY MARKET PRODUCTS INC.
January 27, 1987 - May 15, 1989
MORGAN STANLEY & CO. LLC
March 8, 1985 - May 13, 1987
E. F. HUTTON & COMPANY INC
January 19, 1983 - October 26, 1984
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
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.
