Paul A. Lozzi
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 Lozzi was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24, Series 10 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2011 - September 14, 2018
FIRST TRYON SECURITIES, LLC
April 20, 2009 - July 7, 2010
VINING-SPARKS IBG, LLC
March 11, 2002 - April 1, 2009
BANC OF AMERICA SECURITIES LLC
August 1, 1997 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 1995 - April 1, 1997
J.P. MORGAN SECURITIES LLC
November 9, 1987 - April 27, 1995
MORGAN STANLEY & CO. LLC
August 30, 1986 - October 10, 1987
MATTHEWS & WRIGHT CAPITAL, INC.
February 19, 1984 - October 10, 1987
MATTHEWS & WRIGHT, 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
FIRST TRYON SECURITIES, LLC
CRD#: 7336 / SEC#: , 8-21426
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNNEMER & CO. | MEMBER | |
| BRUNNEMER, HUBER KEITH III | MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE | 2758256 |
| BECK, ERIC JASON | CCO | 4824373 |
| BRUNNEMER, HEBER KEITH JR | MEMBER | 33824 |
| CARPENTER, MARGARET BRUNNEMER MS. | MEMBER, CHIEF FINANCIAL OFFICER, FINOP, | 2042716 |
| HOWELL, ELIZABETH WARREN | MEMBER, SENIOR VICE PRESIDENT | 4791377 |
| JOSEPH, ERIC MICHAEL | MEMBER, SENIOR VICE PRESIDENT | 4001509 |
| WARDLAW, CRAIG M JR. | MEMBER, SENIOR VICE PRESIDENT | 5316503 |
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.
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