Paul M. Gottlieb
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 Mitchel Gottlieb was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2001. Paul had worked at 4 firms and has passed the SIE, Series 14, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2015 - January 3, 2023
ICBC STANDARD SECURITIES INC.
February 29, 2008 - April 4, 2008
RBC CAPITAL MARKETS, LLC
December 17, 2002 - February 5, 2007
RBC CMA LTD
November 7, 2001 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
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
ICBC STANDARD SECURITIES INC.
CRD#: 35560 / SEC#: , 8-46816
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
