Paul J. Sularz

LOOP CAPITAL MARKETS LLC

Chicago, IL 60605

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CRD#: 2052199

Professional summary

Paul Joseph Sularz, CFA is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Chicago, Illinois.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1990. Paul has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Paul Joseph Sularz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

October 18, 2021 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 425 S. Financial Place Ste 2700, Chicago, IL 60605

RIA

CRD#: 43098

Chicago, IL

Past

July 6, 2006 - September 30, 2021

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

August 2, 2004 - May 4, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

November 6, 1998 - August 2, 2004

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

February 1, 1995 - February 13, 1995

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

June 28, 1990 - February 1, 1995

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(10/18/2021)

Exams

State Security Law Exam

Series 63

Date: 12/6/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/31/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/11/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/23/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/17/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/7/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Mailing Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Phone number

(312) 913-4900

Established

Delaware since 06/01/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

250

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LOOP CAPITAL, LLC	OWNER
BERKELEY, STEPHEN SIDNEY	REGULATORY COUNSEL AND CCO	5616433
LUPKIN, IRA ADAM	CHIEF FINANCIAL OFFICER	4463446
REYNOLDS, JAMES JR.	CHIEF EXECUTIVE OFFICER	1162337
SULLIVAN, ANTHONY	CHIEF OPERATING OFFICER	5995264

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Paul J. Sularz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Joseph Sularz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIAM BLAIR

J.P. MORGAN SECURITIES INC.

BANC ONE CAPITAL MARKETS, INC.

DWS DISTRIBUTORS, INC.

KEMPER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/2005

SIE

Date: 10/1/2018

Series 3

Date: 10/31/1991

Series 7

Date: 12/11/1990

Series 6

Date: 6/23/1990

Series 4

Date: 5/17/2000

Series 24

Date: 12/7/1992

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LOOP CAPITAL MARKETS LLC

TRUST BUT VERIFY

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