Paul D. Kaump
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 D Kaump, who also goes by Paul David Kaump, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1998. Paul had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 87 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
October 30, 2017 - July 2, 2018
BRIDGE CAPITAL ASSOCIATES, INC.
April 3, 2009 - November 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2009 - November 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2006 - March 12, 2008
NORTHLAND SECURITIES, INC.
September 3, 2004 - December 14, 2005
HEROLD & LANTERN INVESTMENTS, INC.
April 4, 2000 - September 7, 2004
COLLIERS SECURITIES LLC
December 14, 1998 - March 17, 2000
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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