Paul M. Waldman
Professional summary
Paul Mitchell Waldman is a registered financial professional currently at CELADON FINANCIAL GROUP LLC located in Copiague Harbor, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1993. Paul has worked at 4 firms and has passed the Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Mitchell Waldman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 26, 2011 - Present
CELADON FINANCIAL GROUP LLC
Office #2: 1185 Avenue Of The Americas Suite 317-319, New York, NY 10036June 21, 2011 - October 21, 2011
CAPITAL ONE INVESTMENT SERVICES LLC
July 1, 2003 - July 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 19, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, 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
(10/26/2011)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/29/2015
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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