Miles F. Price
Professional summary
Miles Frederick Price was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Miles is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Miles had worked at 7 firms, which includes PAULSON INVESTMENT COMPANY LLC, MKG CAPITAL ADVISORS LTD., MKG FINANCIAL GROUP INC., FINANCIAL WEST GROUP, MORGAN STANLEY DW INC., HOWE BARNES HOEFER & ARNETT INC., MESIROW INVESTMENT SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2005 - January 17, 2007
PAULSON INVESTMENT COMPANY LLC
November 14, 2005 - January 17, 2007
PAULSON INVESTMENT COMPANY LLC
April 27, 2004 - August 16, 2005
MKG CAPITAL ADVISORS LTD.
March 12, 2004 - August 16, 2005
MKG FINANCIAL GROUP, INC.
November 18, 2002 - December 9, 2003
FINANCIAL WEST GROUP
March 29, 1996 - December 9, 2003
FINANCIAL WEST GROUP
March 1, 1994 - March 5, 1996
MORGAN STANLEY DW INC.
June 20, 1990 - November 16, 1993
HOWE BARNES HOEFER & ARNETT, INC.
July 29, 1987 - May 30, 1990
MESIROW INVESTMENT SERVICES, INC.
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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