Paula A. Tresslar
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 Annette Tresslar, who also goes by Paula Annette Mundt, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1990. Paula had worked at 7 firms and has passed the Series 65, Series 63, Series 31, 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 30, 2011 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 23, 2011
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
February 7, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 4, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 17, 2004 - December 16, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
January 4, 2002 - October 1, 2002
MORGAN STANLEY DW INC.
September 10, 2001 - October 1, 2002
MORGAN STANLEY DW INC.
November 30, 1999 - September 4, 2001
A. G. EDWARDS & SONS, INC.
April 11, 1996 - February 23, 1998
UBS FINANCIAL SERVICES INC.
March 15, 1990 - November 15, 1995
INVEST FINANCIAL CORPORATION
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
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
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.
