Paul M. Pinney
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 Martin Pinney was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 8 firms and has passed the Series 66, Series 63 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
June 29, 2012 - July 27, 2012
TOWER SQUARE SECURITIES, INC.
May 23, 2012 - July 27, 2012
TOWER SQUARE SECURITIES, INC.
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 2, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 20, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 25, 2004 - April 18, 2005
PRUCO SECURITIES, LLC.
July 2, 2003 - December 17, 2003
IDS LIFE INSURANCE COMPANY
July 2, 2003 - December 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
December 6, 1991 - April 13, 1992
CHATFIELD DEAN & CO., INC.
August 2, 1990 - September 5, 1990
WILLIAM BARTON FINANCIAL, 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
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
