Richard A. Paul
Professional summary
Richard Aaron Paul was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard Aaron Paul, who also goes by Aaron Paul, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1996. Richard had worked at 3 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2003 - May 16, 2008
MORGAN KEEGAN & COMPANY, LLC
May 8, 2003 - May 16, 2008
MORGAN KEEGAN & COMPANY, LLC
November 18, 1998 - May 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1998 - May 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1996 - October 15, 1998
OSAIC WEALTH, INC.
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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