Paul J. Maxa
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 Jacob Maxa was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 1990. Paul had worked at 7 firms and has passed the Series 63, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2013 - September 30, 2014
FINTEGRA, LLC
January 25, 2012 - September 26, 2013
CL WEALTH MANAGEMENT LLC
January 11, 2012 - September 26, 2013
ALLIED BEACON PARTNERS, INC.
April 14, 2005 - June 4, 2012
WORKMAN SECURITIES CORPORATION
June 11, 2002 - December 8, 2011
WORKMAN SECURITIES CORPORATION
February 2, 1993 - January 3, 2003
LFK INCORPORATED
February 11, 1992 - December 31, 1992
CETERA ADVISORS LLC
August 13, 1990 - February 14, 1992
PFS INVESTMENTS 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
Current Firm
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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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