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Paul Anthony Matten

CRD# 1312239·Registered 1985 - 2003
Barred: Paul Anthony Matten was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Paul Anthony Matten, who also goes by Paul A Matten, was a registered financial advisor. Paul was a previously registered financial professional and started their career in finance 1985 - 2003. Paul had worked at 2 firms and has passed the Series 63, Series 7 and Series 3 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Paul A Matten

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

GRANUM SECURITIES, L.L.C.·CRD# 42921
BD
New York, NY
September 26, 1997 - March 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
January 23, 1985 - September 1, 1988

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Current Firm

GS
GRANUM SECURITIES, L.L.C.

GRANUM SECURITIES, L.L.C.

CRD#: 42921 / SEC#: 8-50087
BD
Terminated by SEC on 01/15/2008

Contact Information

Established

Delaware since 12/13/1996

Firm Type

Other Types of Legal Formation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
EISENBERG, LEWIS MICHAELMEMBER76589
HARRISON, WALTER FLOYD IIIMEMBER2870420
ZURIFF, LAURENCE GREGGMEMBER2844082
MOSKOWITZ, LLOYDCHIEF FINANCIAL OFFICER2870421
SIEGEL, JONAS BERNARDPRESIDENT AND CHIEF COMPLIANCE OFFICER1252746

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1997About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Oct 1992About the Series 3 exam

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CRS (Client Relationship Summary)

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

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