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Paul J. Busse

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CRD#: 1710957
PB

Professional summary

Paul Judson Busse was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Paul had worked at 6 firms, which includes GRUNTAL & CO. L.L.C., LEHMAN BROTHERS INC., CIBC WORLD MARKETS CORP., CITIGROUP GLOBAL MARKETS INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 5, 1999 - December 2, 1999

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

January 22, 1998 - September 16, 1998

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 4, 1995 - February 26, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 31, 1993 - October 10, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 22, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 30, 1987 - March 22, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

July 30, 1987 - March 28, 1988

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627

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
IAR
Series 65
Date: 12/17/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/28/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

G&
GRUNTAL & CO., L.L.C.
GLOBAL ASSET MANAGEMENT | PROFESSIONAL ASSET MANAGEMENT | GRUNTAL MANAGED ACCOUNTS | GRUNTAL FOCUS ADVISORS | GRUNTAL & CO., L.L.C. | GRUNTAL & CO. INCORPORATED | GRUNTAL & CO.

CRD#: 372 / SEC#: , 8-31022

BD
Terminated by SEC on 07/21/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRUNTAL FINANCIAL, L.L.C.INTEREST HOLDER
BRADLEY, RALPH HAMILTON JRDIRECTOR, EXECUTIVE VICE PRESIDENT2802958
COHEN, DONALD NEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY
JOHNSON, ROSEMARYDIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER1515631
RITTEREISER, ROBERT PETERDIRECTOR, CHAIRMAN, CEO400305

Disclosures

Regulatory Event34
Arbitration81
Bond2

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

GRUNTAL & CO., L.L.C.

CRD#: 372

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