Paul G. Wasserman
Professional summary
Paul Gabriel Wasserman 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 professional and started their career in finance in 1991. Prior to being barred, Paul had worked at 5 firms, which includes FIRST PROVIDENCE FINANCIAL GROUP LLC, WALSH MANNING SECURITIES LLC, MAIDSTONE FINANCIAL INC., FIRST ASSET MANAGEMENT INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 1998 - December 14, 2001
FIRST PROVIDENCE FINANCIAL GROUP, LLC
October 5, 1995 - August 4, 1998
WALSH MANNING SECURITIES, LLC
March 14, 1995 - September 13, 1995
MAIDSTONE FINANCIAL, INC.
May 18, 1992 - April 3, 1995
FIRST ASSET MANAGEMENT, INC.
October 14, 1991 - May 29, 1992
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 1/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST PROVIDENCE FINANCIAL GROUP, LLC
CRD#: 39469 / SEC#: , 8-48710
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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