Paul J. Foont
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 Jared Foont was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1971. Paul had worked at 13 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 1, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2010 - November 15, 2024
MID-MARKET SECURITIES, LLC
January 14, 2008 - March 24, 2009
YORK SECURITIES, INC.
April 5, 2001 - June 16, 2004
WESTOR CAPITAL GROUP, INC.
September 28, 2000 - January 30, 2007
YORK SECURITIES, INC.
May 18, 1988 - May 8, 1989
NATWEST CAPITAL MARKETS SECURITIES INC.
May 4, 1988 - May 8, 1989
WESTMINSTER RESEARCH ASSOCIATES LLC
January 28, 1987 - March 25, 1988
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
September 20, 1985 - October 28, 1986
J.G. SECURITIES CORP.
June 14, 1985 - March 7, 1987
WHARTON FINANCIAL CORP.
July 24, 1980 - June 11, 1985
CRALIN & CO., INC.
July 24, 1979 - January 3, 1985
PRUDENTIAL EQUITY GROUP, LLC
January 10, 1978 - August 28, 1979
E. F. HUTTON & COMPANY INC
July 12, 1974 - December 2, 1977
DEUTSCHE BANK CAPITAL CORPORATION
October 18, 1971 - March 28, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 10/13/1971
Registered Representative ExaminationCurrent Firm
MID-MARKET SECURITIES, LLC
CRD#: 126750 / SEC#: , 8-65905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIEN, ROBERT WILLIAM | PRESIDENT & CEO/GSP/CCO/FINOP | 2289694 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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