Paula Leo
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.
Paula Leo, who also goes by Paula VIgilante, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 2004. Paula had worked at 5 firms and has passed the Series 63 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - August 23, 2018
BROWNSTONE INVESTMENT GROUP, LLC
April 30, 2008 - May 6, 2015
BNY MELLON CAPITAL MARKETS, LLC
January 21, 2008 - April 30, 2008
BNY CAPITAL MARKETS INC.
January 7, 2005 - January 17, 2008
FHN FINANCIAL SECURITIES CORP.
July 28, 2004 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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 11
Date: 7/26/2004
Assistant Representative-Order Processing Qualification ExamCurrent Firm
BROWNSTONE INVESTMENT GROUP, LLC
CRD#: 43884 / SEC#: , 8-50460
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWNSTONE INVESTMENT OPPORTUNITIES, LLC | SOLE MEMBER | |
| BARTMESS, JOANNE CHRISTINE | FINANCIAL AND OPERATIONS PRINCIPAL (01/1998), CHIEF FINANCIAL OFFICER (10/2009), PFO & POO (10/18) | 2922047 |
| HUNTER, MICHELLE HALLA | CHIEF COMPLIANCE OFFICER | 2689083 |
| LOWEY, DOUGLAS BENNETT | MANAGER, PRESIDENT, CHIEF EXECUTIVE OFFICER | 1932929 |
| SABLOWSKY, JON SCOTT | CHIEF OPERATING OFFICER | 1515334 |
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.
