Paul F. Benes
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 Frederick Benes was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1966. Paul had worked at 1 firm and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1966 - June 17, 1997
DIVERSIFIED SECURITIES, INCORPORATED
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
Series 1
Date: 3/25/1958
Registered Representative ExaminationSeries 00
Date: 1/13/1966
General Securities Principal ExaminationCurrent Firm
DIVERSIFIED SECURITIES, INCORPORATED
CRD#: 222 / SEC#: , 8-12676
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DSI FINANCIAL, INC. | PARENT COMPANY | |
| BARRETT, THOMAS JOSEPH | FINOP | 2821759 |
| CALEB, KENNETH ANDRE | CHIEF COMPLIANCE OFFICER | 2031701 |
| CALEB, KENNETH ANDRE | CHIEF OPERATIONS OFFICER, EXECUTIVE VICE PRESIDENT | 2031701 |
| CONWAY, MICHAEL STEVEN | DIRECTOR ACCOUNT SERVICES, SR. VICE PRESIDENT | 3108375 |
| CONWAY, RICHARD PATRICK | PRESIDENT, CHIEF FINANCIAL OFFICER | 1764994 |
| CONWAY, RICHARD PATRICK | CHAIRMAN | 1764994 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
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