Paul G. Caldera
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 Gilbert Caldera was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2018 - July 2, 2018
SOUTHEAST INVESTMENTS, N.C., INC.
November 29, 2007 - March 24, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
April 17, 2006 - November 27, 2007
R.M. STARK & CO., INC.
April 16, 2004 - April 24, 2006
EQUITAS AMERICA, LLC
November 25, 2002 - April 20, 2004
CARDINAL CAPITAL MANAGEMENT, INC.
August 26, 2002 - November 15, 2002
GUNNALLEN FINANCIAL, INC
October 15, 1997 - August 28, 2002
BENSON YORK GROUP, INC.
August 29, 1997 - September 22, 1997
BENSON YORK GROUP, INC.
November 27, 1996 - August 29, 1997
GKN SECURITIES CORP.
April 19, 1996 - November 27, 1996
PARAGON CAPITAL MARKETS, INC.
January 4, 1996 - April 22, 1996
HFC CAPITAL CORP.
November 27, 1995 - April 22, 1996
HFC CAPITAL CORP.
November 21, 1995 - November 22, 1995
RICKEL & ASSOCIATES, INC.
March 2, 1995 - November 20, 1995
BLUESTONE CAPITAL CORP.
May 18, 1994 - March 16, 1995
H.J. MEYERS & CO., INC.
June 25, 1993 - May 25, 1994
HFC CAPITAL CORP.
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
