Paula T. Mahoney
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.
Paula Tuttle Mahoney, who also goes by Paula Tuttle Grant, Paula Tuttle Peter, Paula Denise Tuttle, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1986. Paula had worked at 9 firms and has passed the Series 63, Series 7, Series 27, Series 53, Series 4 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
March 4, 2011 - July 10, 2014
THE WILLIAMS CAPITAL GROUP, L.P.
January 13, 2010 - November 18, 2010
DOMINARI SECURITIES LLC
November 10, 2006 - January 3, 2008
BELLEVUE CHICAGO, LLC
November 6, 2002 - November 18, 2004
BNY MELLON CAPITAL MARKETS, LLC
May 20, 1998 - August 30, 2001
DREYFUS INVESTMENT SERVICES COMPANY, LLC
March 3, 1995 - July 23, 1996
KEY INVESTMENTS INC.
July 27, 1992 - March 3, 1995
SOCIETY INVESTMENTS, INC.
August 25, 1988 - July 27, 1992
AT INVESTMENT SERVICES CORP.
September 1, 1987 - August 8, 1988
SOCIETY INVESTMENTS, INC.
August 11, 1986 - July 21, 1987
LBT BROKERAGE SERVICE, 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
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
