Paul K. Hallman
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 K Hallman, who also goes by Paul Kenneth Hallman, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 12 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
August 14, 2014 - January 5, 2017
SUMMIT EQUITIES, INC.
November 28, 2011 - August 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 2008 - July 7, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 12, 1998 - April 11, 2007
THE GRISWOLD COMPANY, INCORPORATED
June 2, 1993 - April 14, 1994
HUDSON SECURITIES,INC.
February 26, 1992 - May 21, 1993
CANTOR FITZGERALD & CO.
January 23, 1990 - March 2, 1992
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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: 11/13/2006
Limited Representative-Equity Trader ExamSeries 12
Date: 10/1/2000
NYSE Branch Manager ExaminationCurrent Firm
SUMMIT EQUITIES, INC.
CRD#: 11039 / SEC#: 801-39162, 8-27556
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEISS, CRAIG BARRY | CHIEF COMPLIANCE OFFICER | 2354195 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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