Paul F. Brodsky
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 Francis Brodsky was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 14 firms and has passed the 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
December 4, 1998 - August 19, 1999
GKN SECURITIES CORP.
May 6, 1998 - December 11, 1998
M.S. FARRELL & COMPANY, INC.
December 20, 1996 - February 6, 1998
JOSEPH CHARLES & ASSOC., INC.
October 12, 1994 - April 8, 1996
PAULSON INVESTMENT COMPANY LLC
August 25, 1994 - September 19, 1994
LAIDLAW GLOBAL SECURITIES, INC.
February 14, 1994 - May 9, 1994
FAB SECURITIES OF AMERICA, INC.
June 29, 1992 - January 28, 1994
MEYERS SECURITIES CORPORATION
December 24, 1991 - June 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
June 11, 1991 - January 23, 1992
LEHMAN BROTHERS INC.
January 21, 1991 - February 14, 1991
R.H.DAMON & CO., INC.
February 2, 1990 - February 14, 1991
GLOBAL AMERICA INCORPORATED
August 13, 1987 - January 30, 1990
J. T. MORAN & CO., INC.
March 23, 1987 - August 25, 1987
PHILIPS, APPEL & WALDEN, INC.
December 23, 1986 - April 6, 1987
EMANUEL AND COMPANY
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
GKN SECURITIES CORP.
CRD#: 19415 / SEC#: , 8-37442
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Civil Event | 1 |
| Arbitration | 15 |
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.
