Paul B. Gibson

HARBORVIEW CAPITAL MANAGEMENT LLC

Sarasota, FL

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CRD#: 2478007

Professional summary

Paul Brian Gibson is a registered financial advisor currently at HARBORVIEW CAPITAL MANAGEMENT LLC located in Sarasota, Florida.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Paul has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Brian Gibson's 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

May 8, 2024 - Present

HARBORVIEW CAPITAL MANAGEMENT LLC

RIA

CRD#: 153807

Sarasota, FL

Past

April 13, 2011 - December 17, 2018

HARBORVIEW CAPITAL MANAGEMENT LLC

RIA

CRD#: 153807

SARASOTA, FL

Past

July 23, 2009 - June 17, 2010

A.G.P. / ALLIANCE GLOBAL PARTNERS

RIA

CRD#: 8361

WESTPORT, CT

Past

May 21, 2008 - June 17, 2010

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361

WESTPORT, CT

Past

May 9, 1996 - December 3, 1996

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 22, 1994 - January 6, 1995

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/23/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/22/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/2009

General Securities Principal Examination

Current Firm

HARBORVIEW CAPITAL MANAGEMENT LLC

HARBORVIEW CAPITAL MANAGEMENT LLC | HARBOURVIEW CAPITAL MANAGEMENT, LLC

CRD#: 153807 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/17/2018 Terminated)

Florida

Registered Investment Advisory firm - (5/8/2024 Approved)

Georgia

Registered Investment Advisory firm - (6/3/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Sarasota, FL

Mailing Address

Phone number

(203) 858-5286

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	111
AUM (Assets Under Management)	$ 26,806,468

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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Paul B. Gibson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Brian Gibson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBORVIEW CAPITAL MANAGEMENT LLC

HARBORVIEW CAPITAL MANAGEMENT LLC

A.G.P. / ALLIANCE GLOBAL PARTNERS

A.G.P. / ALLIANCE GLOBAL PARTNERS

DB ALEX. BROWN LLC

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2009

Series 63

Date: 5/22/2008

Series 7

Date: 5/20/2008

Series 24

Date: 11/18/2009

Current Firm

HARBORVIEW CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARBORVIEW CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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