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PL

Paul J. Loomis

Some features on this profile are disabled
CRD#: 1709024
PL

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 Joseph Loomis, who also goes by Paul Loomia, Loomis Joseph Paul Joseph, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Loomia | Loomis Joseph Paul Joseph

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 15, 2007 - June 3, 2013

JEFFERIES HIGH YIELD TRADING, LLC

BD
CRD#: 47363
STAMFORD, CT
Past

June 9, 2005 - February 5, 2018

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 9, 2002 - May 20, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 15, 2001 - April 25, 2002

FIVE ARROWS CAPITAL MARKETS LLC

BD
CRD#: 103806
NEW YORK, NY
Past

April 23, 2001 - April 10, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

December 6, 1996 - April 27, 2001

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 19, 1995 - December 2, 1996

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 16, 1993 - September 25, 1995

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 27, 1990 - May 28, 1993

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 2, 1989 - March 19, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/12/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 87
Date: 3/26/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/27/2001
General Securities Principal Examination

Current Firm

JH
JEFFERIES HIGH YIELD TRADING, LLC
JEFFERIES EMPLOYEES OPPORTUNITY FUND, LLC | JEFFERIES PARTNERS OPPORTUNITY FUND II, LLC | JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363 / SEC#: , 8-51771

BD
Terminated by SEC on 06/01/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/30/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFERIES HIGH YIELD HOLDINGMEMBER
HANDLER, RICHARD BRIANCEO, PRESIDENT AND COO1563245
HARTEVELDT, ROBERT LONDONPRESIDENT1831652
SCORAN, LAURI ACHIEF COMPLIANCE OFFICER2060170
WELCH, ROBERT JOSEPHCHIEF FINANCIAL OFFICER AND SECRETARY2442679

Disclosures

Regulatory Event2

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.

Company Information

JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363

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