Paul A. Verostko
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 Verostko was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 15 firms and has passed the Series 63 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
October 4, 2005 - February 25, 2008
OSAIC INSTITUTIONS, INC.
April 28, 2004 - January 5, 2005
NATCITY INVESTMENTS, INC.
May 8, 2002 - April 19, 2004
CITIZENS SECURITIES, INC.
June 13, 2000 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
February 9, 1999 - May 18, 2000
DREYFUS INVESTMENT SERVICES COMPANY, LLC
November 1, 1996 - June 10, 1997
OSAIC WEALTH, INC.
July 15, 1996 - November 4, 1996
WALNUT STREET SECURITIES, INC.
February 13, 1996 - July 17, 1996
TRUSTMONT FINANCIAL GROUP, INC.
July 12, 1995 - February 28, 1996
SUNPOINT SECURITIES, INC.
June 30, 1994 - March 22, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
May 25, 1993 - January 18, 1994
PRUCO SECURITIES, LLC.
June 5, 1992 - September 25, 1992
ALLEGIANCE SECURITIES CORPORATION
March 3, 1992 - April 27, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 5, 1991 - August 5, 1991
INTERNATIONAL ASSETS ADVISORY, LLC
April 6, 1990 - December 31, 1990
PREMIERETRADE SECURITIES, INC.
April 20, 1988 - July 16, 1988
H.J. MEYERS & CO., INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
