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PH

Paul J. Hoeper

Some features on this profile are disabled
CRD#: 2318477
PH

Professional summary

Paul John Hoeper 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 1993. Prior to being barred, Paul had worked at 5 firms, which includes MAXIMUM FINANCIAL INVESTMENT GROUP INC., RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, ROTH CAPITAL PARTNERS LLC, AMERIPRISE ADVISOR SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 19, 1999 - September 2, 1999

MAXIMUM FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 40096
SOUTHFIELD, MI
Past

January 4, 1999 - March 26, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

September 4, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

June 20, 1996 - September 9, 1997

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

September 7, 1993 - June 28, 1996

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/25/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/3/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MF
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
MAXIMUM FINANCIAL GROUP, INC. | PROGRESSIVE FINANCIAL INC. | MAXIMUM FINANCIAL INVESTMENT GROUP, INC.

CRD#: 40096 / SEC#: , 8-48960

BD
Terminated by SEC on 12/01/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 01/03/1996
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PAGANES, CHRISTOPHER THOMASCHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, COMPLIANCE DIRECTOR & CROP/SROP2173707
PAGANES, JOHN THOMASSHAREHOLDER
PRO-ACTIVE HOLDINGSSHAREHOLDER
RUBICON FINANCIAL HOLDINGS, INC.SHAREHOLDER
BARIKMO, GLENN MICHAELEXECUTIVE VICE PRESIDENT1464097

Disclosures

Regulatory Event6

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.

Company Information

MAXIMUM FINANCIAL INVESTMENT GROUP, INC.

CRD#: 40096

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