Paul T. Lebel
Professional summary
Paul Thomas Lebel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Paul had worked at 6 firms, which includes WOOD (ARTHUR W.) COMPANY INC., LPL FINANCIAL LLC, OPPENHEIMER & CO. INC., A. G. EDWARDS & SONS INC., GRUNTAL & CO. L.L.C., MONTANO SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2014 - January 26, 2015
WOOD (ARTHUR W.) COMPANY, INC.
August 20, 2008 - November 20, 2014
LPL FINANCIAL LLC
July 17, 2006 - August 21, 2008
OPPENHEIMER & CO. INC.
September 1, 2000 - July 28, 2006
A. G. EDWARDS & SONS, INC.
December 7, 1994 - September 13, 2000
GRUNTAL & CO., L.L.C.
November 2, 1994 - December 7, 1994
MONTANO 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
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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