Paul M. Portesi
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 Portesi was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2017 - June 7, 2018
W.R. HAMBRECHT + CO., LLC
October 25, 2007 - June 26, 2009
WELLS FARGO SECURITIES, LLC
January 3, 2002 - April 19, 2006
GLEACHER & COMPANY SECURITIES, INC.
May 1, 2001 - October 2, 2001
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
October 26, 1995 - February 1, 2000
HAMBRECHT & QUIST LLC
June 3, 1994 - October 10, 1995
BA INVESTMENT SERVICES, INC.
March 27, 1992 - June 15, 1994
VOLPE BROWN WHELAN & COMPANY, LLC
February 13, 1990 - April 20, 1990
F.N. WOLF & CO., 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: 11/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
W.R. HAMBRECHT + CO., LLC
CRD#: 45040 / SEC#: , 8-50935
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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