Paul A. Niess
Professional summary
Paul Andrew Niess was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Paul had worked at 1 firm, which includes 1717 CAPITAL MANAGEMENT COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1999 - November 21, 2005
1717 CAPITAL MANAGEMENT COMPANY
July 8, 1991 - November 21, 2005
1717 CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
Red Flags
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