Paula L. Kingsley
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.
Paula Lynn Kingsley, who also goes by Paula Schroeder, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1990. Paula had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2009 - February 14, 2013
FLAGSTAR ADVISORS
November 10, 2009 - March 25, 2021
FLAGSTAR ADVISORS
January 5, 2008 - May 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2007 - May 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2003 - March 8, 2007
LEHMAN BROTHERS INC.
May 5, 2003 - November 10, 2003
SANDERS MORRIS LLC
August 8, 2000 - April 16, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 12, 1999 - August 2, 2000
UBS FINANCIAL SERVICES INC.
June 8, 1998 - November 16, 1999
LEGG MASON WOOD WALKER, INCORPORATED
August 29, 1997 - August 18, 1998
WACHOVIA SECURITIES, INC.
September 19, 1996 - August 25, 1997
BANC ONE SECURITIES CORPORATION
October 26, 1994 - September 9, 1996
BANC OF AMERICA SECURITIES LLC
April 17, 1993 - August 25, 1994
HSBC SECURITIES (USA) INC.
November 19, 1991 - March 20, 1993
HSBC SECURITIES (USA) INC.
August 5, 1991 - October 29, 1991
HSBC SECURITIES (USA) INC.
January 14, 1991 - August 21, 1991
MAY FINANCIAL CORPORATION
May 4, 1990 - September 10, 1990
RAUSCHER PIERCE REFSNES, INC.
Primary Firm SEC Registration
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
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
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLAGSTAR BANK, N.A. | SHAREHOLDER | |
| FEIT, ADAM BRIAN | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR | 3261251 |
| GERAGHTY, DOUGLAS P | CHIEF COMPLIANCE OFFICER, DIRECTOR | 6106821 |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | 4463942 |
| PAWANI, SHWETA PRABHUDAS | FINOP/CHIEF FINANCIAL OFFICER | 4934669 |
| PERRY, PHILIP VINCENT | CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | 2120399 |
| PITTSEY, MARK ANDREW | HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR | 2226562 |
| RAFFETTO, RICHARD ALEXANDER | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR | 3161430 |
| STERN, SETH WILLIAM | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR | 7987857 |
Regulatory assets under management
| Total Number of Accounts | 1,571 |
| AUM (Assets Under Management) | $ 1,155,077,972 |
Disclosures
| Arbitration | 1 |
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.
