Robbyn M. Paul
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.
Robbyn Michelle Paul, who also goes by Robbyn Michelle Katz, Robbyr Michelle Katz, was a registered financial professional .
Robbyn is a previously registered financial professional and started their career in finance in 1998. Robbyn had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - May 20, 2015
WFG INVESTMENTS, INC.
July 12, 2010 - October 3, 2013
WOODBURY FINANCIAL SERVICES, INC.
December 5, 2003 - June 7, 2010
CETERA ADVISORS LLC
March 1, 2002 - November 4, 2003
NTB FINANCIAL CORPORATION
September 29, 1998 - February 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
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
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
