Paul A. Chiappa
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 Anthony Chiappa, who also goes by Paul Chiappa, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 11 firms and has passed the 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
January 24, 2002 - January 30, 2020
FMSBONDS, INC.
May 2, 2001 - January 23, 2002
WAMU INVESTMENTS, INC.
January 5, 2000 - May 7, 2001
PFS INVESTMENTS INC.
August 25, 1997 - January 14, 1998
GMS GROUP
July 26, 1996 - June 12, 1997
VINING-SPARKS IBG, LLC
April 7, 1995 - August 7, 1996
MESIROW FINANCIAL, INC.
January 1, 1994 - February 28, 1995
RAYMOND JAMES & ASSOCIATES, INC.
February 24, 1993 - December 20, 1993
WACHOVIA SECURITIES, INC.
September 21, 1989 - February 23, 1993
MARCUS, STOWELL & BEYE, INC.
September 21, 1989 - February 23, 1993
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
November 25, 1987 - May 19, 1988
F.D. ROBERTS SECURITIES, 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
FMSBONDS, INC.
CRD#: 7793 / SEC#: , 8-23280
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
