Paul L. Bishop
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 Lawrence Bishop, who also goes by Paul Lawerence Bishop, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 10 firms and has passed the Series 63, Series 7 and Series 22 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, 1998 - October 11, 2001
PREFERREDTRADE, INC.
August 8, 1996 - October 13, 1998
ROTH CAPITAL PARTNERS, LLC
June 2, 1992 - August 8, 1996
CITIGROUP GLOBAL MARKETS INC.
March 12, 1991 - June 3, 1992
A. G. EDWARDS & SONS, INC.
April 6, 1989 - November 13, 1990
LEHMAN BROTHERS INC.
March 24, 1987 - April 11, 1989
KIDDER, PEABODY & CO. INCORPORATED
September 9, 1986 - February 25, 1987
LINSCO FINANCIAL GROUP, INC.
May 29, 1986 - September 16, 1986
JOHNSTON FINANICAL GROUP
August 16, 1984 - May 21, 1986
WINTHROP SECURITIES CO., INC.
July 19, 1984 - August 13, 1984
AMERICAN DIVERSIFIED EQUITY CORPORATION
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
PREFERREDTRADE, INC.
CRD#: 10993 / SEC#: , 8-27945
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOUGLAS J. ENGMANN & BARBARA J. ENGMANN 1999 REVOCABLE TRUST | SHAREHOLDER | |
| ENGMANN, MICHAEL WAYNE | CO-CEO | 201435 |
| STIPANICH, NEIL CHARLES | SHAREHOLDER/OWNER | 1913739 |
| BOLD, CHARLES MARK | PRESIDENT/CHIEF OPERATING OFFICER/GENERAL PRINCIPAL | 1023910 |
| ENGMANN, BARBARA JO | TRUSTEE | 4833871 |
| ENGMANN, DOUGLAS JOE | CHAIRMAN/CO-CEO/TRUSTEE | 1132831 |
| HAGNER, CHARLES PHILIP III | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | 2060754 |
| HANDIN, PHILLIP EUGENE | ASSISTANT SECRETARY | 3065397 |
| MCNULTY, STEPHEN HART | VP/RETAIL SERVICES-GOVERNMENT PRINCIPAL/MSRB PRINCIPAL | 1959617 |
| PATTERSON, DOUGLAS BRIAN | SENIOR VICE PRESIDENT/SROP | 2566967 |
| TAGLE, MICHAEL D | SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER | 3195159 |
| THURM, KARIN CHRISTINE | VICE PRESIDENT/OPERATIONS | 2849259 |
Disclosures
| Regulatory Event | 12 |
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.
