Paul L. Westra
Professional summary
Paul Louis Westra, who also goes by Paul Westra, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1993. Paul has worked at 6 firms and has passed the Series 63, SIE, Series 79TO, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Louis Westra's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2021 - Present
CAPITAL ONE SECURITIES, INC.
Office #1: 299 Park Avenue 28th Floor, New York, NY 10171June 14, 2013 - March 20, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 18, 2002 - June 17, 2013
COWEN AND COMPANY
July 17, 2001 - June 6, 2002
ROBERTSON STEPHENS, INC.
January 14, 1998 - April 14, 2000
CREDIT SUISSE SECURITIES (USA) LLC
November 8, 1993 - January 2, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2023)
(7/19/2021)
(7/14/2021)
(9/10/2021)
(7/20/2021)
(7/14/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
Exams
Series 79TO
Date: 7/12/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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