Paul B. Hawthorne
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 Bennett Hawthorne, who also goes by Paul B Hawthorne, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2000. Paul had worked at 1 firm and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2000 - September 18, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
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
Series 11
Date: 8/12/2000
Assistant Representative-Order Processing Qualification ExamCurrent Firm
AMERICAN GENERAL SECURITIES INCORPORATED
CRD#: 13626 / SEC#: , 8-29542
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP, INC. | OWNER | |
| AULD, JEFFREY MICHAEL | PRESIDENT, CEO | 857528 |
| BROWN, JAMES BURKE | SENIOR VICE PRESIDENT | 1664825 |
| DENBY, SUSANNE MARIE | FIRST VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| HARRELL, JERI MICHELLE | ASSISTANT VICE PRESIDENT, PRODUCT SALES AND MARKETING | |
| HOLLAR, RICHARD ALLEN | DIRECTOR | 248628 |
| LONG, CRAIG MCCUTCHEON | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1406115 |
| NIXON, CHRISTINE | DIRECTOR | |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT | 2587496 |
| ROTHSTEIN, STEVEN ELLIOT | CHIEF FINANCIAL OFFICER, DIRECTOR | 1292456 |
| SORKIN, NOAH DAVID | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 1832767 |
| TUCK, ELIZABETH MARGARET | ASSISTANT SECRETARY | 4075693 |
| WILLIAMS, DANIEL ONIEL | VICE PRESIDENT, TREASURER | |
| WINTER, MATTHEW EVAN | DIRECTOR | 2598136 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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