Paul H. Chuzi
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 Henry Chuzi, who also goes by Paul H Chuzi, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 11 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 6 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
March 27, 2012 - June 20, 2012
BROOKSTONE SECURITIES, INC.
January 26, 2012 - June 20, 2012
BROOKSTONE SECURITIES, INC.
November 22, 2006 - January 3, 2007
GREAT EASTERN SECURITIES, INC.
October 6, 2005 - September 7, 2010
JHS CAPITAL ADVISORS, LLC
June 1, 2005 - November 11, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 19, 2005 - September 7, 2010
JHS CAPITAL ADVISORS, LLC
December 19, 2003 - January 14, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
August 3, 2001 - December 19, 2003
TRIAD ADVISORS LLC
November 14, 2000 - August 22, 2001
LEGACY FINANCIAL SERVICES, INC.
June 30, 1999 - October 2, 2000
1717 CAPITAL MANAGEMENT COMPANY
April 18, 1997 - July 7, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 14, 1997 - July 7, 1999
JWGENESIS SECURITIES, INC.
April 11, 1994 - April 17, 1997
EDWARD JONES
March 27, 1991 - April 13, 1994
WOODBURY FINANCIAL SERVICES, 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 55
Date: 4/26/2005
Limited Representative-Equity Trader ExamCurrent Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
