Paul B. Kopman
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 Brian Kopman was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 20 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2015 - December 31, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
June 6, 2014 - January 13, 2015
IAA FINANCIAL LLC
August 27, 2013 - December 3, 2013
WESTPARK CAPITAL, INC.
February 1, 2011 - September 2, 2011
NEWPORT COAST SECURITIES, INC.
November 13, 2008 - April 2, 2009
FIRST MIDWEST SECURITIES, INC.
March 12, 2008 - December 12, 2008
INVESTORS CAPITAL CORP.
July 5, 2007 - March 14, 2008
SECURITIES AMERICA, INC.
September 19, 2006 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
October 30, 2003 - September 19, 2006
GUNNALLEN FINANCIAL, INC
January 21, 2003 - November 26, 2003
CONTINENTAL BROKER-DEALER CORP.
May 7, 2001 - November 15, 2002
CONTINENTAL BROKER-DEALER CORP.
August 4, 2000 - May 4, 2001
PREFERRED SECURITIES GROUP, INC.
May 3, 2000 - August 7, 2000
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
January 10, 2000 - May 8, 2000
BARRON CHASE SECURITIES, INC.
November 24, 1999 - December 8, 1999
INSTITUTIONAL EQUITY CORPORATION
October 5, 1999 - November 22, 1999
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
October 12, 1998 - July 21, 1999
CONTINENTAL BROKER-DEALER CORP.
August 3, 1998 - October 9, 1998
JOSEPH DILLON & COMPANY INC.
May 1, 1996 - August 6, 1998
THE INVESTMENT CENTER, INC.
March 12, 1996 - May 6, 1996
COLIN WINTHROP & CO., INC.
June 7, 1995 - March 11, 1996
FIRST ASSET MANAGEMENT, INC.
March 13, 1995 - June 13, 1995
CHATFIELD DEAN & CO., INC.
February 14, 1995 - March 8, 1995
A.S. GOLDMEN & CO., INC.
April 20, 1994 - February 23, 1995
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| HARRIS, KEVIN ANDRE | FINOP | 7061906 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
