Paul G. Saunders
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 George Saunders was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 8 firms and has passed the Series 65, 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 3, 2012 - July 1, 2015
IC ADVISORY SERVICES, INC.
January 3, 2012 - July 1, 2015
THE INVESTMENT CENTER, INC.
January 3, 2005 - December 31, 2011
INVESTORS CAPITAL CORP.
January 3, 2005 - December 31, 2011
INVESTORS CAPITAL CORP.
July 25, 2002 - January 5, 2005
COMMONWEALTH FINANCIAL NETWORK
April 14, 1999 - January 5, 2005
COMMONWEALTH FINANCIAL NETWORK
January 9, 1990 - April 20, 1999
STUART STONE & CO., LLC
November 20, 1989 - January 6, 1990
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
May 16, 1989 - December 21, 1989
LCP CAPITAL CORP.
July 20, 1988 - May 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
