Paul D. Sowell
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 Dibrell Sowell, who also goes by Paul D Sowell II, Paul Dibrell Sowell Ii, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 7 firms and has passed the Series 63, Series 7TO, 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
May 22, 2018 - January 11, 2022
FIRST CITIZENS CAPITAL SECURITIES, LLC
November 1, 2010 - October 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 11, 2004 - December 19, 2006
HSBC SECURITIES (USA) INC.
November 29, 1997 - September 1, 1998
SALOMON BROTHERS INC.
June 21, 1996 - June 14, 2004
CITIGROUP GLOBAL MARKETS INC.
March 30, 1994 - May 10, 1996
S.G. WARBURG & CO. INC.
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 1/7/2024
General Securities Representative ExaminationCurrent Firm
FIRST CITIZENS CAPITAL SECURITIES, LLC
CRD#: 41504 / SEC#: , 8-49466
Contact information
FINRA licenses (49 States and Territories)
Documents
Red Flags
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