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Paul A. Matten

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CRD#: 1312239
PM

Professional summary

Paul Anthony Matten was barred by the FINRA 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 1985. Prior to being barred, Paul had worked at 2 firms, which includes GRANUM SECURITIES L.L.C., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul A Matten

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

September 26, 1997 - March 21, 2003

GRANUM SECURITIES, L.L.C.

BD
CRD#: 42921
NEW YORK, NY
Past

January 23, 1985 - September 1, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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
RR
Series 63
Date: 5/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/5/1992
National Commodity Futures Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/13/1996
Firm type
Other Types of Legal Formation
Fiscal year end
December
# of Employees

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

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

GRANUM SECURITIES, L.L.C.

CRD#: 42921

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