Paul J. Wegman
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 Joseph Wegman, who also goes by Jay Wegman, Paul Joseph Wegman Jr, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 2 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
April 27, 1987 - October 31, 2016
FIRST BANKERS' BANC SECURITIES, INC
August 1, 1986 - May 4, 1987
BOATMEN'S INVESTMENT SERVICES, 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
FIRST BANKERS' BANC SECURITIES, INC
CRD#: 15041 / SEC#: , 8-31584
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
