Paul J. Fee
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 John Fee, who also goes by Paul John Fee, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2019 - December 12, 2022
THE LEADERS GROUP, INC.
March 2, 1998 - February 26, 2019
RBC CAPITAL MARKETS, LLC
March 12, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 11, 1996 - March 21, 1997
CETERA INVESTMENT SERVICES LLC
February 17, 1995 - April 16, 1996
EMPOWER FINANCIAL SERVICES, INC.
September 24, 1992 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
November 21, 1988 - September 29, 1992
MARQUETTE FINANCIAL SERVICES, INC.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
