Paul H. Berghoff
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 Herman Berghoff SR, who also goes by Paul Herman Berghoff, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1961. Paul had worked at 4 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 1974 - December 26, 2013
BERGHOFF & COMPANY, INC.
June 19, 1973 - March 8, 1974
BERGHOFF STERLING & COMPANY
March 28, 1973 - July 30, 1976
WOOLARD & COMPANY INCORPORATED
August 2, 1961 - April 12, 1973
MULLANEY, WELLS & COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/2/1961
Registered Representative ExaminationSeries 00
Date: 6/8/1973
General Securities Principal ExaminationCurrent Firm
BERGHOFF & COMPANY, INC.
CRD#: 6441 / SEC#: , 8-17567
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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