Paul J. Toups
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 James Toups Jr, who also goes by Paul James Toups Jr, Paul James Toups, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1992. Paul had worked at 8 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2018 - December 8, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 6, 2017 - July 12, 2018
CETERA INVESTMENT SERVICES LLC
March 30, 2011 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
February 22, 2010 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
January 8, 2008 - April 30, 2009
DIRECTED SERVICES LLC
August 29, 2000 - January 11, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 17, 1998 - May 5, 2000
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 25, 1992 - May 13, 1998
NATIONAL PLANNING CORPORATION
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 6TO
Date: 7/5/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
