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PT

Paul E. Taboada

Some features on this profile are disabled
CRD#: 2033981
PT

Professional summary

Paul Eric Taboada was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Paul had worked at 8 firms, which includes PHX FINANCIAL INC., CHARLES MORGAN SECURITIES INC., THINKEQUITY LLC, D. WECKSTEIN & CO. INC., HORNBLOWER & WEEKS INC., FAB SECURITIES OF AMERICA INC., CORTLANDT CAPITAL CORPORATION, SOUTH RICHMOND SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 10, 2012 - May 6, 2014

PHX FINANCIAL, INC.

BD
CRD#: 144403
NEW YORK, NY
Past

May 9, 2006 - September 21, 2012

CHARLES MORGAN SECURITIES, INC.

BD
CRD#: 138887
NEW YORK, NY
Past

January 24, 2003 - September 13, 2005

THINKEQUITY LLC

BD
CRD#: 20996
NEW YORK, NY
Past

November 11, 2002 - January 22, 2003

D. WECKSTEIN & CO., INC.

BD
CRD#: 20338
NEW YORK, NY
Past

October 7, 1999 - September 4, 2002

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

January 27, 1995 - September 2, 1999

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

May 13, 1991 - June 24, 1994

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

June 22, 1990 - April 22, 1991

SOUTH RICHMOND SECURITIES, INC.

BD
CRD#: 14913

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/2/2006
General Securities Principal Examination

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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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Company Information

PHX FINANCIAL, INC.

CRD#: 144403

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