John A. Paulsen
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.
John Andrew Paulsen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2015 - August 10, 2018
STONEBRIDGE ADVISORS LLC
June 5, 2013 - April 30, 2015
STERNE, AGEE & LEACH, INC.
March 22, 2010 - April 19, 2013
GLEACHER & COMPANY SECURITIES, INC.
August 10, 2009 - March 11, 2010
CRT CAPITAL GROUP LLC
January 31, 2006 - June 10, 2009
NATWEST MARKETS SECURITIES INC.
June 15, 2001 - January 30, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 1, 2001 - June 15, 2001
J.P. MORGAN SECURITIES INC.
November 10, 2000 - May 1, 2001
JPMSI
June 28, 1994 - November 16, 1998
JPMSI
October 4, 1993 - June 21, 1994
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
STONEBRIDGE ADVISORS LLC
CRD#: 134017 / SEC#: 801-63899
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
STONEBRIDGE ADVISORS LLC
CRD#: 134017 / SEC#: 801-63899
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,022 |
| AUM (Assets Under Management) | $ 10,834,964,323 |
Red Flags
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