Paul F. Balser
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 Fischer Balser II, who also goes by Paul F Balser, Paul Fischer Balser Jr, Paul Fischer Balser, Paul Fisher Balser, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2014 - February 4, 2016
TERRANOVA CAPITAL EQUITIES, INC
January 4, 2010 - June 3, 2010
DRIVEWEALTH INSTITUTIONAL LLC
May 2, 2006 - May 10, 2007
COWEN AND COMPANY
January 4, 2002 - April 27, 2006
CITIGROUP GLOBAL MARKETS INC.
March 2, 2000 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 1996 - January 19, 1999
LAZARD FRERES & CO. LLC
November 9, 1995 - February 14, 1996
PROVIDENCE CAPITAL, INC.
July 31, 1987 - December 23, 1987
ALEX. BROWN & SONS INCORPORATED
March 13, 1987 - April 24, 1987
AMERIPRISE ADVISOR SERVICES, INC.
June 18, 1985 - March 5, 1986
WALL STREET ACCESS
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
Current Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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