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Paul D. Maraman

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CRD#: 2758471
PM

Professional summary

Paul Douglas Maraman was barred by the FINRA 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 1996. Prior to being barred, Paul had worked at 3 firms, which includes FIRSTAR INVESTMENT SERVICESINC., MERCANTILE INVESTMENT SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul D Maraman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 3, 2000 - September 24, 2001

FIRSTAR INVESTMENT SERVICES,INC.

BD
CRD#: 14536
MORRIS PLAINS, NJ
Past

June 18, 1998 - January 3, 2000

MERCANTILE INVESTMENT SERVICES, INC.

BD
CRD#: 19908
ST. LOUIS, MO
Past

July 26, 1996 - June 3, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/23/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/10/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/1996
General Securities Representative Examination

Current Firm

FI
FIRSTAR INVESTMENT SERVICES,INC.
ELAN INVESTMENT SERVICES, INC. | FIRSTAR INVESTMENT SERVICES,INC. | FIRSTAR INVESTMENT SERVICES, INC. | FIRST WISCONSIN INVESTMENT SERVICES | ELANCO INVESTMENT SERVICES, INC.

CRD#: 14536 / SEC#: , 8-30767

BD
Terminated by SEC on 02/18/2002
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 10/21/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
U.S. BANCORP MINNESOTA, N.A.OWNER
DAVIS, RICHARDDIRECTOR
GUEVARA, CARLOS JOHNSENIOR VICE PRESIDENT, DIRECTOR OF COMPLIANCE1697335
HIDY, RICHARD J.CHIEF LEGAL OFFICER, SECRETARY
JACOBSMEYER, CAROL JEANDIRECTOR603832
LAMMERT, MARILYN KAYASSISTANT VICE PRESIDENT, SROP, CROP1264361
MCCORMACK, DANIEL JOSEPHINTERIM PRESIDENT1808443
SANTIAGO, MARIA ISABELSENIOR VICE PRESIDENT, OPERATIONS & BROKER SERVICES1275974
SHORT, STEVENDIRECTOR
TRUEMAN, DANIEL JOSEPHFINANCIAL AND OPERATIONS PRINCIPAL2912375

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.

Company Information

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

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