Paul B. Fremont
Professional summary
Paul Basch Fremont, who also goes by Paul Michael Freemont, Paul B Fremont, Paul Basch Fremont, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Basch Fremont's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2023 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019February 1, 2017 - January 4, 2023
MIZUHO SECURITIES USA LLC
August 31, 1999 - February 11, 2015
JEFFERIES LLC
November 29, 1997 - March 3, 1998
SALOMON BROTHERS INC.
January 28, 1997 - March 3, 1998
CITIGROUP GLOBAL MARKETS 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
(2/22/2023)
(1/11/2023)
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(1/20/2023)
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(2/9/2023)
(1/11/2023)
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(1/11/2023)
(1/11/2023)
(5/26/2023)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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