Paulo A. Baia
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.
Paulo Azevedo Baia was a registered financial professional .
Paulo is a previously registered financial professional and started their career in finance in 1992. Paulo had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2016 - November 20, 2017
J. ALDEN ASSOCIATES, INC.
April 28, 2005 - December 20, 2006
SG AMERICAS SECURITIES, LLC
April 4, 2000 - May 15, 2003
COMMERZ MARKETS LLC
April 20, 1998 - January 19, 2000
COMMERZ MARKETS LLC
July 11, 1997 - March 2, 1998
NATWEST SECURITIES CORPORATION
February 13, 1995 - July 3, 1997
PERSHING LLC
September 1, 1992 - February 13, 1995
DB ALEX. BROWN LLC
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
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
