Paul E. Taboada
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2012 - May 6, 2014
PHX FINANCIAL, INC.
May 9, 2006 - September 21, 2012
CHARLES MORGAN SECURITIES, INC.
January 24, 2003 - September 13, 2005
THINKEQUITY LLC
November 11, 2002 - January 22, 2003
D. WECKSTEIN & CO., INC.
October 7, 1999 - September 4, 2002
HORNBLOWER & WEEKS, INC.
January 27, 1995 - September 2, 1999
FAB SECURITIES OF AMERICA, INC.
May 13, 1991 - June 24, 1994
CORTLANDT CAPITAL CORPORATION
June 22, 1990 - April 22, 1991
SOUTH RICHMOND SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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