Dusty W. Paschall

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS

BOSTON, MA 02114

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CRD#: 1296752

Professional summary

Dusty Ward Paschall, who also goes by Dusty W Paschall, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.

Dusty is registered as a RR (Registered Representative) and started their career in finance in 1984. Dusty has worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dusty W Paschall

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dusty Ward Paschall's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 24, 2011 - Present

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

Office #1: One Congress Street, Boston, MA 02114

CRD#: 30107

BOSTON, MA

Past

January 23, 2009 - May 10, 2011

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

January 23, 2009 - May 10, 2011

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

June 2, 2008 - January 7, 2009

OLD MUTUAL CAPITAL

RIA

CRD#: 131405

DENVER, CO

Past

October 6, 2004 - January 7, 2009

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

BOSTON, MA

Past

June 25, 2003 - September 24, 2004

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

February 13, 2002 - July 1, 2003

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

February 22, 2001 - February 7, 2002

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

March 29, 1999 - February 22, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

March 9, 1998 - July 29, 1998

INVESTORS BROKERAGE OF TEXAS, LTD.

CRD#: 13037

WACO, TX

Past

September 26, 1997 - March 3, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

September 26, 1997 - March 3, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 28, 1992 - August 1, 1997

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

July 30, 1991 - December 17, 1991

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

March 26, 1990 - March 9, 1992

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

August 11, 1986 - March 21, 1989

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

Past

September 20, 1984 - August 28, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/24/2011)

Alaska
(5/24/2011)

Arizona
(5/24/2011)

Arkansas
(5/24/2011)

California
(5/24/2011)

Colorado
(5/24/2011)

Connecticut
(5/24/2011)

Delaware
(5/24/2011)

District of Columbia
(5/24/2011)

Florida
(5/24/2011)

Georgia
(5/24/2011)

Hawaii
(5/24/2011)

Idaho
(5/24/2011)

Illinois
(5/24/2011)

Indiana
(5/24/2011)

Iowa
(5/24/2011)

Kansas
(5/24/2011)

Kentucky
(5/24/2011)

Louisiana
(5/24/2011)

Maine
(5/24/2011)

Maryland
(5/24/2011)

Massachusetts
(5/24/2011)

Michigan
(5/24/2011)

Minnesota
(5/24/2011)

Mississippi
(5/24/2011)

Missouri
(5/24/2011)

Montana
(5/24/2011)

Nebraska
(5/24/2011)

Nevada
(5/24/2011)

New Hampshire
(5/24/2011)

New Jersey
(5/24/2011)

New Mexico
(5/24/2011)

New York
(5/24/2011)

North Carolina
(5/24/2011)

North Dakota
(5/24/2011)

Ohio
(5/26/2011)

Oklahoma
(5/24/2011)

Oregon
(5/24/2011)

Pennsylvania
(5/24/2011)

Puerto Rico
(4/24/2018)

Rhode Island
(5/24/2011)

South Carolina
(5/24/2011)

South Dakota
(5/24/2011)

Tennessee
(5/24/2011)

Texas
(5/24/2011)

Utah
(5/24/2011)

Vermont
(5/24/2011)

Virginia
(5/24/2011)

Washington
(5/24/2011)

West Virginia
(5/24/2011)

Wisconsin
(5/24/2011)

Wyoming
(5/24/2011)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/30/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/29/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC

CRD#: 30107 / SEC#: , 8-44744

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Congress Street, Boston, MA 02114

Mailing Address

One Congress Street, Boston, MA 02114

Phone number

(617) 664-3619

Established

Delaware since 03/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STATE STREET GLOBAL ADVISORS, INC.	PARENT CORPORATION
ALBERICI, MARK F	DIRECTOR	3223458
AMOA, APEAWUSU K	DIRECTOR	7711546
BONDS MAZZA, ALLISON HATHHORN	PRESIDENT AND DIRECTOR	4439495
CORBETT, TIMOTHY PAUL	DIRECTOR
FERRARELLI, JAMES	DIRECTOR	6961735
LAPORTA, JEANNE MARIE	DIRECTOR & CHAIRWOMAN	5946908
TENORIO, EDITHA V	CHIEF FINANCIAL OFFICER	6755490
TRABUCCO, MARK RUSSELL	CHIEF COMPLIANCE OFFICER	4856280
TUCKER, JOHN A	DIRECTOR	7000761

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Dusty W. Paschall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dusty Ward Paschall's CRS (Customer Relationship Summary).

Certified licenses

Experience

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

OLD MUTUAL CAPITAL

OLD MUTUAL INVESTMENT PARTNERS

AMUNDI DISTRIBUTOR US, INC.

TRANSAMERICA CAPITAL, LLC

COREBRIDGE CAPITAL SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

INVESTORS BROKERAGE OF TEXAS, LTD.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

INVEST FINANCIAL CORPORATION

KEMPER FINANCIAL SERVICES, INC.

RAUSCHER PIERCE REFSNES, INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2008

Series 63

Date: 9/19/1984

SIE

Date: 10/1/2018

Series 3

Date: 10/29/1984

Series 7

Date: 9/15/1984

Series 24

Date: 7/8/1998

FINRA

Current Firm

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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