Paul John Roesler
Professional Summary
Paul John Roesler, who also goes by Pablo Roesler, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pablo Roesler
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ALTOS SECURITIES, INC. | LOS ALTOS INVESTMENT SECURITIES, INC. | KIPLING CAPITAL, INC.
Contact Information
Main Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941Mailing Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941Phone Number
(415) 339-4080Established
California since 02/23/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (42 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/21/2024)
(4/22/2005)
(2/11/2004)
(2/11/2004)
(2/11/2004)
(1/21/2024)
(2/11/2004)
(2/11/2004)
(10/22/2007)
(2/11/2004)
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(2/11/2004)
(1/21/2024)
(5/11/2023)
(5/11/2023)
(10/26/2004)
(2/11/2004)
(1/30/2015)
(2/11/2004)
(1/21/2024)
(1/21/2024)
(2/18/2004)
(2/11/2004)
(4/10/2014)
(2/11/2004)
(12/10/2007)
(2/11/2004)
(5/11/2023)
(1/22/2024)
(1/21/2024)
(2/11/2004)
(6/7/2005)
(5/11/2023)
(6/13/2006)
(1/14/2026)
(2/11/2004)
(2/11/2004)
(1/21/2024)
(2/11/2004)
(2/11/2004)
(9/10/2024)
(5/11/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Dec 2003About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Aug 2004About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Paul John Roesler's CRS (Customer Relationship Summary).
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