Paul Antis
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 Antis was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 1983. Paul had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2010 - February 15, 2013
HAYDEN STONE & CO., LLC
October 20, 2004 - March 30, 2010
GUNNALLEN FINANCIAL, INC
October 15, 2004 - March 30, 2010
GUNNALLEN FINANCIAL, INC
July 1, 2003 - November 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 24, 1990 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1989 - January 11, 1991
LEHMAN BROTHERS INC.
October 28, 1983 - August 28, 1989
KIDDER, PEABODY & CO. INCORPORATED
August 23, 1983 - November 21, 1983
FINANCIAL ESTATE PLANNING, INC.
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
HAYDEN STONE & CO., LLC
CRD#: 150872 / SEC#: , 8-68305
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
