Paul W. Shaum
Professional summary
Paul Wesley Shaum, who also goes by Paul Shaum, is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Los Angeles, California.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1988. Paul has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 16 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Wesley Shaum's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 18, 2021 - Present
ANDES CAPITAL GROUP, LLC
Office #1: 5200 Wilshire Blvd. Suite 560, Los Angeles, CA 90036October 30, 2019 - May 26, 2020
OCP CAPITAL, LLC
June 25, 2010 - June 17, 2011
MORGAN STANLEY
June 16, 2010 - June 17, 2011
MORGAN STANLEY
June 13, 2007 - June 24, 2008
GE CAPITAL MARKETS, INC.
November 20, 1996 - March 26, 2001
COWEN AND COMPANY
June 24, 1994 - October 9, 1996
BANC OF AMERICA SECURITIES LLC
July 8, 1991 - December 1, 1993
J.P. MORGAN SECURITIES LLC
March 10, 1989 - May 30, 1991
SALOMON BROTHERS INC.
November 23, 1988 - October 24, 1989
DB ALEX. BROWN 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
(3/18/2021)
Exams
Series 7TO
Date: 10/30/2019
General Securities Representative ExaminationFINRA
Current Firm
ANDES CAPITAL GROUP, LLC
CRD#: 139212 / SEC#: , 8-67202
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
