Paul P. Gutekunst
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 P Gutekunst, who also goes by Paul Philip Gutekunst, Paul Phillip Gutekunst, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 17 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2018 - October 15, 2018
NORTH SOUTH CAPITAL, LLC
November 14, 2016 - April 30, 2018
TRIBAL CAPITAL MARKETS, LLC
April 27, 2016 - October 12, 2016
CG CAPITAL MARKETS, LLC
May 16, 2013 - October 30, 2015
GREAT PACIFIC SECURITIES
January 30, 2012 - May 20, 2013
MESIROW FINANCIAL, INC.
February 23, 2011 - January 18, 2012
CASTLEOAK SECURITIES, LP
July 26, 2010 - February 24, 2011
ALADDIN CAPITAL LLC
November 24, 2009 - July 8, 2010
JESUP & LAMONT SECURITIES CORP
February 25, 2008 - November 17, 2009
MURIEL SIEBERT & CO., LLC
April 2, 2007 - March 13, 2008
MORGAN STANLEY & CO. LLC
January 17, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
May 24, 1993 - January 23, 1995
KIDDER, PEABODY & CO. INCORPORATED
October 21, 1988 - May 28, 1993
LEHMAN BROTHERS INC.
July 24, 1987 - December 21, 1988
W.J. NOLAN & COMPANY, INC.
June 23, 1986 - July 20, 1987
BREAN MURRAY & CO., INC.
June 6, 1986 - June 25, 1986
EAST COAST SECURITIES GROUP, INC.
December 21, 1983 - August 25, 1986
FIRST UNITED FUND,LTD.
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
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
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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