Paul P. Karos
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 Peter Karos was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2011 - March 30, 2012
APLOS ADVISORS LLC
March 11, 1996 - December 31, 2002
PIPER SANDLER & CO.
November 4, 1988 - March 19, 1996
CREDIT SUISSE SECURITIES (USA) LLC
January 14, 1987 - July 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
November 29, 1984 - December 4, 1986
PIPER SANDLER & CO.
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
Series 8
Date: 8/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
APLOS ADVISORS LLC
CRD#: 155444 / SEC#:
Contact information
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.
