Paul R. Pezza
Professional summary
Paul Robert Pezza, CIMA®, who also goes by Paul R Pezza, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Newport Beach, California.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1996. Paul has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Robert Pezza's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 21, 2011 - Present
PIMCO INVESTMENTS LLC
Office #1: 650 Newport Center Dr., Newport Beach, CA 92660July 20, 2001 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
June 15, 2000 - March 31, 2011
NUVEEN FUND ADVISORS, LLC
January 1, 1996 - March 31, 2011
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2022)
(9/6/2012)
(6/29/2021)
(1/10/2022)
(4/21/2011)
(5/13/2022)
(5/13/2022)
(5/13/2022)
(5/13/2022)
(5/13/2022)
(5/13/2022)
(9/6/2012)
(5/15/2022)
(1/10/2022)
(1/10/2022)
Exams
FINRA
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| MURPHY, JORDAN MITCHELL | CHIEF COMPLIANCE OFFICER | 4221561 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
| WHITTEN, CANDICE STACK | MANAGER, BOARD OF MANAGERS | 4460452 |
Red Flags
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