Paul A. Sepe
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 Anthony Sepe, who also goes by Paul A Sepe, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 6 firms and has passed the Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - June 1, 2017
THE LEADERS GROUP, INC.
January 16, 2014 - January 23, 2015
OSAIC SERVICES, INC.
January 1, 2005 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
June 4, 1997 - January 1, 2005
INTERLINK SECURITIES CORP.
May 3, 1994 - May 27, 1997
AFD, INC.
June 19, 1983 - May 5, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 8/21/1973
Non-Member General Securities ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
