Paul M. Strockis
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 Michael Strockis, who also goes by Paul M Strockis, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2009 - January 31, 2013
NORTH RIDGE SECURITIES CORP.
August 25, 2006 - January 5, 2009
VANDERBILT SECURITIES, LLC
April 14, 2005 - August 25, 2006
AEGIS CAPITAL CORP.
January 22, 2001 - June 30, 2005
YANKEE FINANCIAL GROUP, INC.
October 1, 1999 - March 8, 2001
GLENN MICHAEL FINANCIAL, INC.
February 22, 1999 - October 1, 1999
PATAGON.COM SECURITIES CORP.
September 21, 1993 - February 18, 1999
GUARDIAN INVESTOR SERVICES LLC
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
NORTH RIDGE SECURITIES CORP.
CRD#: 27098 / SEC#: 801-108451, 8-42879
Contact information
Disclosures
| Regulatory Event | 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.
