Paul A. Kaju
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 Anthony Kaju, who also goes by Paul A Kaju, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 3 firms and has passed the Series 63, SIE, Series 82 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
May 2, 2018 - May 29, 2024
GALLATIN CAPITAL LLC
January 22, 1997 - February 4, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 1987 - September 11, 1991
CARGILL CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 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.
