PR
Paul J. Roesler
KIPLING CAPITAL
Mill Valley, CA 94941
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CRD#: 2324720
PR
Professional summary
Paul John Roesler, who also goes by Pablo Roesler, is a registered financial professional currently at KIPLING CAPITAL, INC. located in Mill Valley, California.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2003. Paul has worked at 1 firm and has passed the Series 63, SIE, Series 22 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pablo Roesler
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.
CRS (Client Relationship Summary) - BD
Click below to view Paul John Roesler's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 8, 2003 - Present
KIPLING CAPITAL, INC.
Office #1: 100 Shoreline Hwy 200-b, Mill Valley, CA, 94941Office #2: 100 Shoreline Hwy. 200-b, Mill Valley, CA 94941BD
CRD#: 41196
Mill Valley, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/21/2024)
RR
Arizona(4/22/2005)
RR
California(2/11/2004)
RR
Colorado(2/11/2004)
RR
Connecticut(2/11/2004)
RR
Delaware(1/21/2024)
RR
District of Columbia(2/11/2004)
RR
Florida(2/11/2004)
RR
Georgia(10/22/2007)
RR
Hawaii(2/11/2004)
RR
Idaho(2/11/2004)
RR
Illinois(2/11/2004)
RR
Indiana(1/21/2024)
RR
Kentucky(5/11/2023)
RR
Louisiana(5/11/2023)
RR
Maryland(10/26/2004)
RR
Massachusetts(2/11/2004)
RR
Michigan(1/30/2015)
RR
Minnesota(2/11/2004)
RR
Missouri(1/21/2024)
RR
Montana(1/21/2024)
RR
Nebraska(2/18/2004)
RR
Nevada(2/11/2004)
RR
New Hampshire(4/10/2014)
RR
New Jersey(2/11/2004)
RR
New Mexico(12/10/2007)
RR
New York(2/11/2004)
RR
North Carolina(5/11/2023)
RR
Ohio(1/22/2024)
RR
Oklahoma(1/21/2024)
RR
Oregon(2/11/2004)
RR
Pennsylvania(6/7/2005)
RR
Rhode Island(5/11/2023)
RR
South Carolina(6/13/2006)
RR
Tennessee(9/17/2024)
RR
Texas(2/11/2004)
RR
Utah(2/11/2004)
RR
Vermont(1/21/2024)
RR
Virginia(2/11/2004)
RR
Washington(2/11/2004)
RR
Wisconsin(9/10/2024)
RR
Wyoming(5/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KC
KIPLING CAPITAL, INC.
ALTOS SECURITIES, INC. | LOS ALTOS INVESTMENT SECURITIES, INC. | KIPLING CAPITAL, INC.
CRD#: 41196 / SEC#: , 8-49349
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941
Mailing Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941
Phone number
(415) 339-4080
Established
California since 02/23/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (42 States and Territories)
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KIPLING CAPITAL, INC.
CRD#: 41196Mill Valley, CA 94941TRUST BUT VERIFY
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