Paul N. Klie
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 Newton Klie was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 5 firms and has passed the Series 66, Series 63, Series 7 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
January 2, 2013 - September 23, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
December 11, 2012 - September 23, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
June 29, 1995 - January 12, 2001
TD SECURITIES (USA) LLC
October 11, 1994 - June 21, 1995
RAYMOND JAMES (USA) LTD.
February 18, 1992 - October 27, 1994
HARRIS NESBITT CORP.
June 24, 1986 - December 9, 1991
BURNS FRY 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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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