Paul S. Caron

H & L EQUITIES

Atlanta, GA 30361

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CRD#: 2451071

Professional summary

Paul Stephen Caron, who also goes by Paul S Caron, Paul Stephen Caron, Paul Caron, is a registered financial professional currently at H & L EQUITIES, LLC located in Atlanta, Georgia.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 13 firms and has passed the Series 65, Series 63, Series 82TO, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul S Caron | Paul Stephen Caron | Paul Caron

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Truist Investment Services, Inc. - Compliance Manager

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Stephen Caron's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 26, 2022 - Present

H & L EQUITIES, LLC

Office #1: 1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361Office #2: 1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361-6206

CRD#: 113794

Atlanta, GA

Past

September 1, 2021 - October 28, 2022

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

December 10, 2019 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

ATLANTA, GA

Past

December 9, 2019 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

ATLANTA, GA

Past

September 22, 2016 - October 24, 2022

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ATLANTA, GA

Past

July 20, 2016 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ATLANTA, GA

Past

July 19, 2016 - October 24, 2022

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

November 9, 2011 - July 12, 2016

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

TAMPA, FL

Past

September 12, 2011 - July 12, 2016

J.W. COLE FINANCIAL, INC.

CRD#: 124583

TAMPA, FL

Past

September 5, 2008 - August 5, 2010

WESTPARK CAPITAL, INC.

RIA

CRD#: 39914

NEW YORK, NY

Past

September 4, 2008 - August 5, 2010

WESTPARK CAPITAL, INC.

CRD#: 39914

NEW YORK, NY

Past

May 26, 2005 - August 25, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ST. PETERSBURG, FL

Past

May 20, 2005 - August 25, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 22, 2003 - May 16, 2005

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

July 8, 2003 - May 16, 2005

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

September 9, 2002 - November 18, 2002

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

NEW ORLEANS, LA

Past

February 29, 2000 - August 7, 2002

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

February 28, 2000 - August 7, 2002

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

February 25, 2000 - December 31, 2000

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

June 27, 1997 - January 25, 1999

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(6/11/2024)

Georgia
(10/28/2022)

Texas
(6/10/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 8/10/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 8/10/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 27

Date: 9/17/2009

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/31/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/8/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

H & L EQUITIES, LLC

CRD#: 113794 / SEC#: , 8-53371

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361-6206

Mailing Address

1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361-6206

Phone number

(404) 892-3300

Established

Georgia since 06/01/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HARRISON, CHARLES B	OWNER	3071551
JOHNSON, PHYLLIS JEANNE	OWNER	1020488
CARON, PAUL STEPHEN	CCO	2451071
HARRISON, CHRISTOPHER SCOTT MR.	CEO	4981070
MAYFIELD, LORI DUNN	CFO	4899271

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.

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Advisor Monitoring

Firm Stability Insights

Paul S. Caron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Stephen Caron's CRS (Customer Relationship Summary).

Certified licenses

Experience

P.J. ROBB VARIABLE, LLC

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

WESTPARK CAPITAL, INC.

WESTPARK CAPITAL, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

HANCOCK WHITNEY INVESTMENT SERVICES INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2001

Series 63

Date: 3/20/2000

Series 82TO

Date: 8/10/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/26/1997

Series 14

Date: 8/10/2023

Series 27

Date: 9/17/2009

Series 53

Date: 10/31/2001

Series 4

Date: 3/8/2001

Series 24

Date: 3/13/2000

FINRA

Current Firm

H & L EQUITIES, LLC

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

H & L EQUITIES, LLC

TRUST BUT VERIFY

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