Paul D. Strang
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 David Strang, who also goes by Paul David Strang Mr., was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - November 6, 2019
J.P. MORGAN SECURITIES LLC
April 26, 2016 - November 6, 2019
J.P. MORGAN SECURITIES LLC
August 12, 2013 - March 29, 2016
SWBC INVESTMENT COMPANY
August 12, 2013 - March 29, 2016
SWBC INVESTMENT SERVICES, LLC
February 16, 2012 - October 25, 2012
WOODBURY FINANCIAL SERVICES, INC.
February 16, 2012 - October 25, 2012
WOODBURY FINANCIAL SERVICES, INC.
February 3, 2011 - September 22, 2011
VALIC FINANCIAL ADVISORS, INC.
January 19, 2011 - September 22, 2011
VALIC FINANCIAL ADVISORS, INC.
March 10, 2009 - February 22, 2010
BOLTON SECURITIES CORPORATION
March 4, 2009 - February 22, 2010
BOLTON GLOBAL CAPITAL
December 12, 2006 - February 10, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
June 24, 2004 - December 11, 2006
GUARDIAN INVESTOR SERVICES LLC
June 25, 2002 - November 13, 2003
ALLIANZ LIFE FINANCIAL SERVICES, LLC
November 29, 1999 - July 1, 2002
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 1, 1999 - November 15, 1999
COREBRIDGE CAPITAL SERVICES, INC.
February 20, 1998 - November 10, 1998
TRANSAMERICA CAPITAL, LLC
July 21, 1997 - January 8, 1998
THE ADVISORS GROUP, INC.
October 1, 1996 - July 2, 1997
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
