Paul O. Koether
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 Otto Koether was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1968. Paul had worked at 6 firms and has passed the Series 63, PC, Series 1, Series 24, Series 40 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2009 - October 6, 2011
IMS HEALTH CAPITAL, INC.
June 5, 1992 - July 10, 2000
DIRECT CAPITAL SECURITIES, INC.
January 4, 1989 - September 27, 2011
T.R. WINSTON & COMPANY, LLC
August 21, 1978 - January 9, 1989
INGALLS & SNYDER, LLC
July 1, 1976 - January 31, 1978
JOHN MUIR & CO.
January 23, 1968 - June 4, 1972
BRINBERG AND COMPANY
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
PC
Date: 3/20/1980
AMEX Put and Call ExamSeries 1
Date: 6/24/1958
Registered Representative ExaminationSeries 40
Date: 6/28/1976
Registered Principal ExaminationSeries 00
Date: 1/15/1968
General Securities Principal ExaminationCurrent Firm
IMS HEALTH CAPITAL, INC.
CRD#: 150156 / SEC#: , 8-68222
Contact information
Red Flags
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