Paul S. Nemeth
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 Stephen Nemeth was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 7 firms and has passed the Series 65, 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
June 13, 2003 - April 4, 2016
SHEARSON FINANCIAL SERVICES, LLC
December 16, 2002 - June 12, 2003
BRILL SECURITIES, INC.
January 2, 2002 - December 11, 2002
OPPENHEIMER & CO. INC.
September 21, 1991 - January 2, 2002
JOSEPHTHAL & CO., INC.
May 29, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
November 16, 1987 - May 29, 1990
JSC SECURITIES, INC.
March 24, 1987 - November 25, 1987
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619 / SEC#: 801-61866, 8-48313
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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