Kevin R. Graetz
Professional summary
Kevin Richard Graetz was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Kevin had worked at 12 firms, which includes PAULSON INVESTMENT COMPANY LLC, ROTH CAPITAL PARTNERS LLC, ADVANCED EQUITIES INC., OPPENHEIMER & CO. INC., MAXIM GROUP LLC, RYAN BECK & CO., H.C.WAINWRIGHT & CO. LLC, JOSEPHTHAL & CO. INC., GKN SECURITIES CORP., GRUNTAL & CO. L.L.C., TUCKER ANTHONY INCORPORATED, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2013 - May 3, 2017
PAULSON INVESTMENT COMPANY LLC
January 17, 2013 - February 5, 2013
ROTH CAPITAL PARTNERS, LLC
October 22, 2007 - November 20, 2012
ADVANCED EQUITIES, INC.
August 23, 2005 - November 1, 2007
OPPENHEIMER & CO. INC.
December 18, 2002 - August 23, 2005
MAXIM GROUP LLC
April 23, 2002 - January 2, 2003
RYAN BECK & CO.
October 16, 2000 - May 30, 2002
H.C.WAINWRIGHT & CO., LLC
March 4, 1998 - October 23, 2000
JOSEPHTHAL & CO., INC.
December 17, 1996 - January 29, 1998
GKN SECURITIES CORP.
January 18, 1996 - December 16, 1996
GRUNTAL & CO., L.L.C.
October 10, 1992 - January 26, 1996
TUCKER ANTHONY INCORPORATED
December 6, 1991 - October 1, 1992
UBS FINANCIAL SERVICES INC.
June 26, 1991 - October 18, 1991
JOSEPHTHAL & CO., INC.
February 4, 1991 - May 20, 1991
GRUNTAL & CO., L.L.C.
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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