Paul H. Wich
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 Henry Wich was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - September 15, 2014
1ST GLOBAL CAPITAL CORP.
October 3, 2008 - September 7, 2010
PENSON FINANCIAL SERVICES, INC.
April 9, 2007 - September 30, 2008
1ST GLOBAL ADVISORS INC
April 7, 2000 - September 30, 2008
1ST GLOBAL CAPITAL CORP.
January 21, 1994 - April 7, 2000
FIDELITY BROKERAGE SERVICES LLC
October 27, 1993 - December 6, 1993
IDS LIFE INSURANCE COMPANY
October 27, 1993 - December 6, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
1ST GLOBAL CAPITAL CORP.
CRD#: 30349 / SEC#: , 8-44870
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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