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Paul T. Mannion

Some features on this profile are disabled
CRD#: 1302924
PM

Professional summary

Paul Thomas Mannion JR 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 1984. Prior to being barred, Paul had worked at 8 firms, which includes STREETCAPITAL INC, VFINANCE CAPITAL LC, FIRST ATLANTA SECURITIES LLC, JWGENESIS SECURITIES INC., JOSEPHTHAL & CO. INC., THE STUART-JAMES COMPANY INCORPORATED, CIBC WORLD MARKETS CORP., UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Thomas Mannion

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 1, 2001 - September 19, 2014

STREETCAPITAL, INC

BD
CRD#: 104034
ROSWELL, GA
Past

January 14, 2000 - June 28, 2001

VFINANCE CAPITAL LC

BD
CRD#: 46528
NEW YORK, NY
Past

September 29, 1999 - December 21, 1999

FIRST ATLANTA SECURITIES, LLC

BD
CRD#: 18200
DESTIN, FL
Past

November 30, 1995 - September 30, 1999

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

November 14, 1990 - December 12, 1995

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

August 26, 1987 - November 23, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO
Past

January 20, 1986 - September 3, 1987

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

February 12, 1985 - January 27, 1986

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

September 24, 1984 - January 25, 1985

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/8/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/8/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/15/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 2/27/2003
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/2/1991
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/29/1989
Registered Options Principal Examination

Current Firm

SI
STREETCAPITAL, INC
DAT-TRADING.COM | STREETCAPITAL, INC. | STREETCAPITAL, INC | HYPERION PARTNERS CORP. | HPC CAPITAL MANAGEMENT CORP.

CRD#: 104034 / SEC#: , 8-52518

BD
Terminated by SEC on 11/13/2015
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 11/17/1999
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SBARRA, VINCENT STANLEYPRESIDENT/CHIEF COMPLIANCE OFFICER, SHAREHOLDER2216872
CORBMAN, BRIAN MICHAELASSISTANT CHIEF COMPLIANCE OFFICER,SECRETARY, SHAREHOLDER4296565
HUDSON PARTNERS, LLCSHAREHOLDER
FISCHER, KAREN ZILLIAFIN OP1708090

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.

Company Information

STREETCAPITAL, INC

CRD#: 104034

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