Paul T. Gannon
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 T Gannon, who also goes by Paul T Gannon, Paul Teilhard Gannon, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 14 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2024 - January 27, 2026
ANICO FINANCIAL SERVICES, INC.
September 25, 2023 - January 4, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 25, 2023 - January 4, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 24, 2021 - July 31, 2023
FIRST HEARTLAND CONSULTANTS, INC.
September 24, 2021 - July 31, 2023
FIRST HEARTLAND CAPITAL, INC.
October 2, 2018 - September 23, 2021
BFC PLANNING, INC.
May 24, 2017 - September 23, 2021
SECURITIES MANAGEMENT & RESEARCH, INC.
April 8, 2010 - January 27, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
December 13, 2007 - May 8, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 17, 2004 - September 21, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 2, 2004 - June 4, 2004
AFS BROKERAGE, INC.
November 18, 2002 - December 1, 2003
BOFA DISTRIBUTORS, INC.
April 5, 2002 - August 28, 2002
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 16, 2000 - January 16, 2002
SLD AMERICA EQUITIES, INC.
December 19, 1996 - February 7, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 29, 1996 - July 18, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 17, 1995 - April 5, 1996
PRUCO SECURITIES, LLC.
September 1, 1994 - August 8, 1995
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
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 6TO
Date: 9/25/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ANICO FINANCIAL SERVICES, INC.
CRD#: 158883 / SEC#: , 8-68938
Contact information
FINRA licenses (7 States and Territories)
Documents
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.
