Paul D. Adcock
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 Dean Adcock was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 3 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
October 9, 2023 - February 29, 2024
GTS SECURITIES LLC
November 21, 2003 - March 23, 2018
ARCHIPELAGO TRADING SERVICES, INC.
August 7, 2002 - March 23, 2018
ARCHIPELAGO SECURITIES L.L.C.
April 19, 1999 - August 7, 2002
WAVE SECURITIES, LLC
May 1, 1995 - May 7, 2004
TERRA NOVA FINANCIAL, LLC
December 23, 1994 - April 25, 1995
RCM SECURITIES
October 26, 1993 - December 31, 1994
MF GLOBAL INC.
July 3, 1991 - October 13, 1993
PRUDENTIAL EQUITY GROUP, LLC
April 18, 1984 - July 10, 1991
UBS FINANCIAL SERVICES 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
Series 55
Date: 4/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
GTS SECURITIES LLC
CRD#: 149224 / SEC#: , 8-68126
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GTS FINANCIAL LLC | HOLDING COMPANY/CLASS A MEMBER | |
| GILLETTE, CHARLES P | TRADING AND MARKETS CHIEF COMPLIANCE OFFICER | 3174027 |
| NAZEM, DARIUSH | CHIEF OPERATING OFFICER | 4930821 |
| ROMANELLO, PATRICK JOSEPH | CORE BROKER DEALER CHIEF COMPLIANCE OFFICER | 5378090 |
| RUBENSTEIN, ARI M | CO-FOUNDER AND CHIEF EXECUTIVE OFFICER | 4134798 |
| TIRIOLO, CHRISTIAN JOHN | FINOP, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 3063877 |
Disclosures
| Regulatory Event | 38 |
Red Flags
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