Minish J. Hede
Professional summary
Minish Joe Hede was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Minish is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Minish had worked at 10 firms, which includes PAULSON INVESTMENT COMPANY LLC, ROTH CAPITAL PARTNERS LLC, ADVANCED EQUITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS SECURITIES INC., JOSEPHTHAL & CO. INC., HAMPSHIRE SECURITIES CORPORATION, FIRST CAMBRIDGE SECURITIES CORPORATION, SANDS BROTHERS & CO. LTD., REICH & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2013 - May 2, 2017
PAULSON INVESTMENT COMPANY LLC
January 17, 2013 - February 5, 2013
ROTH CAPITAL PARTNERS, LLC
July 21, 2006 - November 19, 2012
ADVANCED EQUITIES, INC.
January 2, 2001 - July 27, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 3, 1999 - January 2, 2001
JWGENESIS SECURITIES, INC.
January 16, 1998 - August 27, 1999
JOSEPHTHAL & CO., INC.
June 16, 1997 - January 26, 1998
HAMPSHIRE SECURITIES CORPORATION
February 21, 1996 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
August 2, 1994 - March 6, 1996
SANDS BROTHERS & CO., LTD.
January 18, 1994 - April 11, 1994
REICH & CO., 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
Exams
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
