Paul K. Flather
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 Kevin Flather was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 7 firms and has passed the Series 65, Series 63 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
August 16, 2018 - May 15, 2025
HERMES ADVISORS LLC
January 30, 2013 - January 3, 2017
PALISADE CAPITAL MANAGEMENT, LP
August 13, 2007 - December 31, 2012
HERMES ADVISORS, LLC
August 21, 1991 - April 19, 1994
KIDDER, PEABODY & CO. INCORPORATED
August 6, 1990 - August 5, 1991
GRUNTAL & CO., L.L.C.
February 10, 1989 - August 10, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 22, 1986 - February 8, 1989
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HERMES ADVISORS LLC
CRD#: 285508 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 71,954,358 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 6/22/2018 |
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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