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Paul Michael Barausky

SEALY INVESTMENT SECURITIES
DALLAS, TX
·CRD# 2104993·33 years experience

Professional Summary

Paul Michael Barausky, who also goes by Paul M Barausky, is a registered financial advisor currently at SEALY INVESTMENT SECURITIES, LLC located in Dallas, Texas. Paul is registered as a RR (Registered Representative) and started their career in finance in 1991. Paul has worked at 12 firms and has passed the Series 63, Series 65, Series 22TO, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Paul M Barausky

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

SEALY INVESTMENT SECURITIES, LLC·CRD# 300691
BD
1. 5910 N. Central Expressway Suite 1700, Dallas, TX 752062. 5910 N. Central Expressway, Suite 1700, Dallas, TX 75206
October 15, 2019 - Present
S2K FINANCIAL LLC·CRD# 248786
BD
Orlando, FL
October 26, 2018 - April 22, 2019
STIRA CAPITAL MARKETS GROUP, LLC·CRD# 141277
BD
Irvine, CA
March 26, 2010 - October 3, 2018
MARKEL NEWTON·CRD# 131662
BD
Toluca Lake, CA
September 29, 2009 - March 22, 2010
ALPS DISTRIBUTORS, INC.·CRD# 16853
BD
Denver, CO
April 2, 2007 - October 9, 2007
HAYS ADVISORY, LLC·CRD# 113713
RIA
Brentwood, TN
August 9, 2006 - May 18, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.·CRD# 145
BD
Radnor, PA
December 11, 2003 - June 30, 2004
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Houston, TX
April 7, 2003 - August 28, 2003
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
March 21, 2003 - August 28, 2003
INVESCO CAPITAL MARKETS, INC.·CRD# 6939
BD
Houston, TX
December 19, 2002 - March 10, 2003
INVESCO DISTRIBUTORS, INC.·CRD# 7369
BD
Houston, TX
February 27, 1997 - December 9, 2002
GLOBAL ATLANTIC DISTRIBUTORS, LLC·CRD# 8326
BD
Hartford, CT
February 18, 1994 - February 11, 1997
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
June 14, 1993 - July 30, 1993
GLOBAL ATLANTIC DISTRIBUTORS, LLC·CRD# 8326
BD
Hartford, CT
January 18, 1991 - June 9, 1993

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Current Firm

SI
SEALY INVESTMENT SECURITIES, LLC

SEALY INVESTMENT SECURITIES, LLC

CRD#: 300691 / SEC#: 8-70340
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

5910 N. Central Expressway, Suite 1700, Dallas, TX 75206

Mailing Address

5910 N. Central Expressway, Suite 1700, Dallas, TX 75206

Phone Number

(714) 812-1668

Established

Georgia since 12/19/2018

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEALY & COMPANY, LLCDIRECT OWNER—
BARAUSKY, PAUL MICHAELCHIEF DISTRIBUTION OFFICER2104993
CARTER, ANA ROUMENOVAFINOP, PFO, POO4424794
JACKSON, PETER LYNNPRESIDENT & CEO4276062
MARTIN, CHRISTINA MARIECHIEF COMPLIANCE OFFICER6228852

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(8/12/2020)
RR
Alaska
(8/12/2020)
RR
Arizona
(8/12/2020)
RR
Arkansas
(8/12/2020)
RR
California
(8/12/2020)
RR
Colorado
(8/12/2020)
RR
Connecticut
(8/12/2020)
RR
Delaware
(8/12/2020)
RR
District of Columbia
(8/12/2020)
RR
Florida
(2/10/2022)
RR
Georgia
(8/12/2020)
RR
Hawaii
(8/12/2020)
RR
Idaho
(8/12/2020)
RR
Illinois
(8/12/2020)
RR
Indiana
(8/12/2020)
RR
Iowa
(8/12/2020)
RR
Kansas
(8/12/2020)
RR
Kentucky
(8/12/2020)
RR
Louisiana
(8/12/2020)
RR
Maine
(8/12/2020)
RR
Maryland
(8/12/2020)
RR
Massachusetts
(3/5/2020)
RR
Michigan
(8/12/2020)
RR
Minnesota
(8/12/2020)
RR
Mississippi
(8/12/2020)
RR
Missouri
(8/12/2020)
RR
Montana
(8/12/2020)
RR
Nebraska
(8/12/2020)
RR
Nevada
(8/12/2020)
RR
New Hampshire
(8/12/2020)
RR
New Jersey
(8/12/2020)
RR
New Mexico
(8/12/2020)
RR
New York
(8/12/2020)
RR
North Carolina
(8/12/2020)
RR
North Dakota
(8/12/2020)
RR
Ohio
(8/16/2020)
RR
Oklahoma
(8/12/2020)
RR
Oregon
(8/12/2020)
RR
Pennsylvania
(8/12/2020)
RR
Rhode Island
(8/12/2020)
RR
South Carolina
(8/12/2020)
RR
South Dakota
(8/12/2020)
RR
Tennessee
(8/12/2020)
RR
Texas
(11/6/2019)
RR
Utah
(8/12/2020)
RR
Vermont
(8/12/2020)
RR
Virgin Islands
(8/12/2020)
RR
Virginia
(8/12/2020)
RR
Washington
(8/12/2020)
RR
West Virginia
(8/12/2020)
RR
Wisconsin
(8/12/2020)
RR
Wyoming
(8/12/2020)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2010About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2006About the Series 65 exam

Series 22TO — Direct Participation Programs Representative Examination

Passed Jan 2023About the Series 22TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2010About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 2007About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Dec 2016About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Paul Michael Barausky's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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