Paula-mae Lindo
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.
Paula-mae Lindo, who also goes by Paula Mae Lindo, Paulamae Lindo, was a registered financial professional .
Paula-mae is a previously registered financial professional and started their career in finance in 2004. Paula-mae had worked at 7 firms and has passed the Series 7TO, SIE 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
August 1, 2018 - September 14, 2021
I-BANKERS DIRECT, LLC
February 27, 2017 - December 26, 2018
I-BANKERS SECURITIES, INC.
September 27, 2016 - December 20, 2016
KOVACK SECURITIES INC.
August 6, 2013 - March 23, 2016
HERBERT J. SIMS & CO, INC.
June 4, 2008 - August 5, 2013
NEWBRIDGE SECURITIES CORPORATION
March 5, 2008 - May 28, 2008
JVB FINANCIAL GROUP, LLC
March 25, 2004 - February 15, 2008
CAPITAL GROWTH FINANCIAL, LLC
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
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationCurrent Firm
I-BANKERS DIRECT, LLC
CRD#: 167533 / SEC#: , 8-69264
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IB DIRECT, LLC | SOLE MEMBER | |
| THAYER, LARRY DANIEL JR | CCO, CONTROL PERSON FOR SHUTDOWN ACTIVITIES | 4598879 |
Disclosures
| Regulatory Event | 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.
