Paul A. Scharfer
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 Alan Scharfer 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, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2014 - April 27, 2015
CHARDAN CAPITAL MARKETS LLC
November 1, 2006 - July 28, 2014
SSC NY CORP.
October 3, 2003 - November 1, 2006
MUSKET RESEARCH ASSOCIATES INC.
August 28, 2003 - October 9, 2003
SSC NY CORP.
September 11, 2001 - December 5, 2001
SCO SECURITIES LLC
July 5, 1996 - October 18, 2001
SSC NY CORP.
February 16, 1995 - June 27, 1996
SSC NY CORP.
June 23, 1994 - February 16, 1995
GRUNTAL & CO., L.L.C.
December 20, 1993 - June 27, 1994
D. BLECH & COMPANY, INCORPORATED
November 4, 1992 - December 21, 1993
REICH & CO., INC.
September 11, 1992 - September 21, 1992
AMERICORP SECURITIES, 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
Current Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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