Paul G. Brady
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 Gregory Brady was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 2 firms and has passed the SIE, Series 62, Series 6, Series 51 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
July 26, 2017 - July 14, 2020
VAUGHAN AND COMPANY SECURITIES, INC.
March 25, 2014 - August 19, 2015
VAUGHAN AND COMPANY SECURITIES, INC.
June 5, 1989 - August 19, 2015
VAUGHAN AND COMPANY SECURITIES, INC.
March 21, 1985 - December 31, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VAUGHAN AND COMPANY SECURITIES, INC.
CRD#: 18826 / SEC#: 801-118757, 8-36916
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 62
Date: 8/25/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
VAUGHAN AND COMPANY SECURITIES, INC.
CRD#: 18826 / SEC#: 801-118757, 8-36916
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 458 |
| AUM (Assets Under Management) | $ 280,000,000 |
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.
