Paul J. Ferraro
Professional summary
Paul James Ferraro, who also goes by Paul J Ferraro, Paul J Ferraro, Paul Ferraro, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul James Ferraro's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2024 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
Office #1: 345 Hudson Street 12th Floor, New York, NY 10014January 3, 2022 - January 31, 2024
TCG CAPITAL MARKETS L.L.C.
January 10, 2020 - December 31, 2021
FORESIDE FUND SERVICES, LLC
May 21, 2015 - January 10, 2020
TCG SECURITIES, L.L.C.
July 25, 2014 - April 24, 2015
FORESIDE FUND SERVICES, LLC
September 16, 2011 - July 29, 2014
TCG SECURITIES, L.L.C.
January 19, 2010 - July 27, 2011
MORGAN STANLEY & CO. LLC
June 1, 2009 - January 19, 2010
MORGAN STANLEY
February 25, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 15, 2002 - March 25, 2004
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 1, 2000 - December 12, 2000
WELLS FARGO CLEARING SERVICES, LLC
March 13, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 24, 1994 - May 24, 1995
PNC BROKERAGE CORP
June 24, 1994 - July 19, 1994
L.C. WEGARD & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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