Paul E. Finkel

QUEENFIN LLC

PITTSBORO, NC

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CRD#: 1620027

Professional summary

Paul Elliott Finkel, who also goes by Paul Elliot Finkel, is a registered financial advisor currently at QUEENFIN LLC located in Pittsboro, North Carolina.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Paul has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Elliot Finkel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Elliott Finkel's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 20, 2015 - Present

QUEENFIN LLC

RIA

CRD#: 281550

PITTSBORO, NC

Past

November 5, 1990 - March 7, 1991

FIRST INVESTORS MANAGEMENT COMPANY, INC.

CRD#: 1844

Past

January 21, 1987 - June 21, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(10/20/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/8/1987

General Securities Principal Examination

Current Firm

QUEENFIN LLC

CRD#: 281550 / SEC#:

New York

Registered Investment Advisory firm - (10/19/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (10/15/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Pittsboro, NC

Mailing Address

4073 Fearrington Post, Pittsboro, NC 27312

Phone number

(919) 265-7326

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Paul E. Finkel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Elliott Finkel's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUEENFIN LLC

FIRST INVESTORS MANAGEMENT COMPANY, INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1992

Series 63

Date: 3/17/1987

Series 7

Date: 1/17/1987

Series 24

Date: 5/8/1987

Current Firm

QUEENFIN LLC

Contact information

Documents

Red Flags

Company Information

QUEENFIN LLC

TRUST BUT VERIFY

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