Paul M. Havens
Professional summary
Paul Michael Havens is a registered financial professional currently at DRIVEWEALTH, 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 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Michael Havens's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2018 - Present
DRIVEWEALTH, LLC
Office #1: 28 Liberty Street 50th Floor, New York, NY, 10005Office #2: 28 Liberty Street 50th Floor, New York, NY 10005September 7, 2011 - February 25, 2019
DRIVEWEALTH INSTITUTIONAL LLC
September 1, 2009 - February 10, 2011
B. RILEY SECURITIES, INC.
June 30, 2006 - August 24, 2009
SHORELINE TRADING GROUP LLC
September 9, 2002 - November 20, 2002
GOLDMAN SACHS & CO. LLC
December 19, 1994 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/16/2018)
(2/16/2018)
Exams
Series 55
Date: 7/25/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
DRIVEWEALTH, LLC
CRD#: 165429 / SEC#: , 8-69161
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS, INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | COO | 2262100 |
| LAMKE, JAMES DANIEL | CHIEF COMPLIANCE OFFICER | 1418047 |
| PALAPARTHI, VENU MADHAV | CHIEF EXECUTIVE OFFICER | 2437777 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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