Paul U. Perez
Professional summary
Paul Ulises Perez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Paul had worked at 8 firms, which includes INVESTACORP INC., FINTEGRA LLC, GUNNALLEN FINANCIAL INC, OSAIC SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2013 - October 20, 2017
INVESTACORP, INC.
June 9, 2010 - September 30, 2013
FINTEGRA, LLC
May 6, 2010 - September 30, 2013
FINTEGRA, LLC
December 16, 2008 - March 30, 2010
GUNNALLEN FINANCIAL, INC
June 24, 2008 - March 30, 2010
GUNNALLEN FINANCIAL, INC
May 5, 2006 - December 5, 2007
OSAIC SERVICES, INC.
October 1, 2000 - March 23, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 11, 1996 - March 31, 1998
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1995 - April 23, 1996
MORGAN STANLEY DW 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
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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