Paul S. Mabry
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 Scott Mabry was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 1983. Paul had worked at 10 firms and has passed the Series 65, Series 63, Series 5 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
April 9, 2009 - November 30, 2009
CUNA BROKERAGE SERVICES, INC.
April 3, 2009 - November 30, 2009
CUNA BROKERAGE SERVICES, INC.
December 11, 2008 - March 26, 2009
WORLD GROUP SECURITIES, INC.
May 16, 2006 - January 4, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 13, 2005 - January 9, 2006
FIFTH THIRD SECURITIES, INC.
November 18, 2002 - November 20, 2002
HIGH MARK SECURITIES, INC.
September 3, 1999 - April 17, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 3, 1999 - April 17, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 24, 1999 - August 31, 1999
AMSOUTH INVESTMENT SERVICES, INC.
April 1, 1998 - April 26, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 2, 1992 - April 1, 1998
BARNETT INVESTMENTS, INC.
February 28, 1991 - November 5, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 10, 1988 - March 13, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 29, 1988 - October 20, 1988
CITIGROUP GLOBAL MARKETS INC.
March 31, 1983 - March 13, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 3/30/1983
Interest Rate Options ExaminationCurrent Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
