Paul A. Bornstein
Professional summary
Paul Arthur Bornstein was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Paul had worked at 10 firms, which includes SPENCER CLARKE LLC, PRIME CHARTER LTD., CONNECTICUT CAPITAL MARKETS LLC, FAM DISTRIBUTORS INC., SHAWMUT BROKERAGE INC., JOHN A. LEVIN & CO. INC., TOWER SQUARE SECURITIES INC., HAAS SECURITIES CORPORATION, CRALIN & CO. INC., GILFORD SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2003 - January 5, 2005
SPENCER CLARKE LLC
November 30, 2000 - December 4, 2001
PRIME CHARTER LTD.
June 2, 1999 - November 27, 2000
CONNECTICUT CAPITAL MARKETS, LLC
December 17, 1996 - November 18, 1998
FAM DISTRIBUTORS, INC.
October 6, 1994 - February 12, 1996
SHAWMUT BROKERAGE, INC.
January 28, 1993 - April 19, 1994
JOHN A. LEVIN & CO., INC.
December 19, 1986 - December 3, 1992
TOWER SQUARE SECURITIES, INC.
April 15, 1985 - November 10, 1986
HAAS SECURITIES CORPORATION
September 26, 1984 - April 8, 1985
CRALIN & CO., INC.
November 22, 1983 - September 27, 1984
GILFORD SECURITIES INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
SPENCER CLARKE LLC
CRD#: 41316 / SEC#: , 8-49362
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 4 |
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