Paul E. Greenberg
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 Edward Greenberg was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1972. Paul had worked at 9 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 1999 - December 4, 2000
FIRST INSTITUTIONAL SECURITIES, L.L.C.
March 13, 1989 - September 10, 1997
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 1, 1989 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
February 2, 1983 - December 26, 1986
LISS TENNER & GOLDBERG SECURITIES CORPORATION
June 20, 1977 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
June 14, 1976 - June 10, 1977
HALPERT AND COMPANY, INC.
June 24, 1974 - November 19, 1983
FINSECO
July 6, 1973 - September 5, 1978
COMPREHENSIVE CAPITAL CORPORATION
May 3, 1972 - June 18, 1973
EQUITY FUNDING CORP
January 14, 1972 - July 2, 1972
PIEDMONT CAPITAL 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 1
Date: 1/10/1972
Registered Representative ExaminationF04
Date: 7/25/1974
Financial Principal ExaminationSeries 00
Date: 7/22/1974
General Securities Principal ExaminationCurrent Firm
FIRST INSTITUTIONAL SECURITIES, L.L.C.
CRD#: 23910 / SEC#: , 8-40992
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLUBSIDE LIMITED, L.L.C. | NONE (OWNER ONLY) | |
| GORE, BERT ELWOOD JR | COO / INSTITUTIONAL SALES MANAGER | 501978 |
| WEST DOVER ASSOCIATES, L.L.C. | NONE (OWNER ONLY) | |
| BOARDMAN, MATTHEW MILES | FIXED INCOME TRADING MANAGER/RETAIL SALES MANAGER | 843666 |
| GOLDBERG, STANLEY ROBERT | CEO | 224038 |
| LISS, GEORGE | PRESIDENT | 601837 |
| COLAIACOVO, DAREN JOHN | EMPLOYEE | 2186242 |
| EARNHARDT, ERIC MICHAEL | CHIEF COMPLIANCE OFFICER | 1855856 |
| EDGAR, DAVID WILLIAM | EMPLOYEE | 1004169 |
| ELLENTUCK, TODD MICHAEL | EMPLOYEE | 1321452 |
| FERGANG, SCOTT DAVID | EMPLOYEE | 1758758 |
| GOLDBERG, HOWARD | EMPLOYEE | 2800828 |
| KNIPFELBERG, CHERYL KATHLEEN | EMPLOYEE | 724231 |
| KOLBEN, PETER MEYER | EMPLOYEE | 1919765 |
| LAZARE, DARREN EVAN | EMPLOYEE | 2378165 |
| LEVINE, THOMAS RICHARD | EMPLOYEE | 713769 |
| LIBIN, STEVEN BRUCE | EMPLOYEE | 1339503 |
| LOONEY, EDWARD JOSEPH JR | SROP / CROP | 1009933 |
| NEWMAN, MARC DOUGLAS | EMPLOYEE | 870528 |
| PICARELLO, LARRY PAUL | CHIEF FINANCIAL OFFICER / FINOP | 1330946 |
| PROST, GEORGE L | EMPLOYEE | 1334567 |
| QUERQUES, JEFFREY DANA | EMPLOYEE | 1108636 |
| QUINN, DAVID BRIAN | EMPLOYEE | 1139076 |
| SALINO, MATTHEW RAYMOND | EMPLOYEE | 1004340 |
| SALZMAN, BENNETT ROY | EMPLOYEE | 1509040 |
| SCOTT, KEVIN | EMPLOYEE | 2677403 |
| SHERMAN, MERVIN ALLEN | EMPLOYEE | 1109362 |
| SPERBER, LAWRENCE SCOTT | EMPLOYEE | 1311458 |
| STEIN, DAVID HOWARD | EMPLOYEE | 1316506 |
| SULLIVAN, JAMES KEVIN | EMPLOYEE | 1163104 |
| WEINSTEIN, MICHAEL JAY | EMPLOYEE | 1037475 |
| ZYMET, MARK JAY | EMPLOYEE | 871701 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
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.
