Paul M. Wudski
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 Michael Wudski, who also goes by Paul M Wudski, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2007 - April 25, 2014
EMBARCADERO FINANCIAL GROUP
May 11, 2005 - December 31, 2012
ON INVESTMENT MANAGEMENT CO
December 20, 2002 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
August 14, 1997 - January 7, 2003
NEW ENGLAND SECURITIES
February 5, 1990 - August 4, 1997
ROBERT W. BAIRD & CO. INCORPORATED
February 5, 1990 - August 4, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
EMBARCADERO FINANCIAL GROUP
CRD#: 140929 / SEC#: 801-118400
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
EMBARCADERO FINANCIAL GROUP
CRD#: 140929 / SEC#: 801-118400
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 159,889,835 |
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.
