Paul J. Jacquin
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 Jacquin was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 12 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2007 - June 18, 2012
MORGAN KEEGAN & COMPANY, LLC
April 5, 2007 - June 18, 2012
MORGAN KEEGAN & COMPANY, LLC
April 13, 2006 - April 11, 2007
PFIC ADVISORS, INC.
November 13, 2002 - October 7, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
October 24, 2002 - April 5, 2007
PFIC SECURITIES CORPORATION
April 23, 2001 - January 31, 2002
FIDUCIAL INVESTMENT ADVISORS, INC.
June 3, 1999 - April 18, 2001
SANCTUARY SECURITIES, INC.
February 1, 1999 - June 7, 1999
BANC ONE SECURITIES CORPORATION
March 13, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
March 3, 1995 - March 7, 1997
KEY INVESTMENTS INC.
July 27, 1992 - March 3, 1995
SOCIETY INVESTMENTS, INC.
June 25, 1991 - July 27, 1992
AT INVESTMENT SERVICES CORP.
May 23, 1989 - March 8, 1990
LEHMAN BROTHERS 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
Series 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
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