Andre P. Davis
Professional summary
Andre Pierre Davis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andre is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Andre had worked at 8 firms, which includes PAULSON INVESTMENT COMPANY LLC, FIRST STANDARD FINANCIAL COMPANY LLC, NATIONAL SECURITIES CORPORATION, BROOKSTONE SECURITIES INC., NEWBRIDGE SECURITIES CORPORATION, LH ROSS & COMPANY INC., FIRST MONTAUK SECURITIES CORP., J.W. BARCLAY & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2019 - March 2, 2020
PAULSON INVESTMENT COMPANY LLC
March 17, 2015 - May 30, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
July 13, 2012 - March 31, 2015
NATIONAL SECURITIES CORPORATION
June 8, 2010 - June 20, 2012
BROOKSTONE SECURITIES, INC.
October 22, 2004 - May 24, 2010
NEWBRIDGE SECURITIES CORPORATION
June 17, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
November 17, 2000 - June 18, 2004
FIRST MONTAUK SECURITIES CORP.
March 8, 2000 - November 22, 2000
J.W. BARCLAY & CO., INC.
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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