Paul Horrmann
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 Horrmann, who also goes by Paul Horrman, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 12 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
September 7, 2022 - March 13, 2023
CREWS & ASSOCIATES, INC.
April 5, 2022 - September 6, 2022
DINOSAUR FINANCIAL GROUP, L.L.C
February 21, 2018 - October 9, 2019
DINOSAUR FINANCIAL GROUP, L.L.C
May 9, 2016 - September 22, 2017
TAVIRA SECURITIES US LLC
November 25, 2014 - July 29, 2015
LPS CAPITAL LLC
June 25, 2012 - June 27, 2012
AVATAR CAPITAL GROUP LLC
April 15, 2010 - November 5, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
February 2, 2006 - March 1, 2010
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 14, 2003 - February 2, 2006
ICAP SECURITIES USA LLC
October 31, 2000 - February 14, 2003
COMMERZBANK CAPITAL MARKETS CORP.
January 10, 2000 - October 31, 2000
ICAP SECURITIES USA LLC
January 21, 1992 - January 31, 1994
MIZUHO SECURITIES USA LLC
March 22, 1991 - January 22, 1992
MERRILL LYNCH GOVERNMENT SECURITIES INC.
January 1, 1987 - January 2, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
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
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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.
