Paul H. Wascher
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 Heinz Robert Wascher, who also goes by Paul H R Wascher, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 11 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 3, Series 7, Series 14, Series 4, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2019 - October 4, 2024
HIGHTOWER SECURITIES, LLC
March 8, 2013 - February 15, 2018
VIRTU ALTERNET SECURITIES LLC
March 6, 2013 - February 15, 2018
VIRTU ITG LLC
July 18, 2011 - March 15, 2019
MATRIX EXECUTIONS, LLC
August 18, 2010 - July 12, 2011
TRADINGBLOCK
July 14, 2006 - August 20, 2010
TERRA NOVA FINANCIAL, LLC
April 10, 2000 - July 10, 2006
WINTRUST INVESTMENTS LLC
June 25, 1999 - March 17, 2000
BANC ONE SECURITIES CORPORATION
August 25, 1998 - June 4, 1999
ABN AMRO INCORPORATED
August 22, 1996 - July 7, 1998
HOWE BARNES HOEFER & ARNETT, INC.
February 24, 1987 - March 6, 1995
CONCORD SERVICES L.L.C.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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