Paul G. Risoli
Professional summary
Paul Gerard Risoli 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 1994. Prior to being barred, Paul had worked at 4 firms, which includes BANC OF AMERICA SECURITIES LLC, ABN AMRO INCORPORATED, ABN AMRO SECURITIES LLC, J.P. MORGAN SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2003 - March 12, 2007
BANC OF AMERICA SECURITIES LLC
March 1, 2002 - June 6, 2003
ABN AMRO INCORPORATED
April 2, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
January 25, 2001 - April 20, 2001
J.P. MORGAN SECURITIES LLC
February 28, 1994 - March 17, 2000
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
Red Flags
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