Enrico L. Paolone
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.
Enrico Lorenzo Paolone, who also goes by Rick Paolone, was a registered financial professional .
Enrico is a previously registered financial professional and started their career in finance in 1989. Enrico had worked at 4 firms and has passed the 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
December 8, 2000 - February 25, 2019
HAYWOOD SECURITIES (USA) INC.
March 21, 1996 - March 24, 2000
NBF SECURITIES (USA) CORP.
January 27, 1995 - January 30, 1996
MIDLAND WALWYN CAPITAL CORPORATION
March 23, 1989 - December 14, 1994
SCOTIA CAPITAL (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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