Paul J. Demaio
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 John Demaio, who also goes by Paul J Demaio, Paul John Demaio Mr., Paul John Demaio, Paul Demaio, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 22 firms and has passed the Series 63, Series 66, SIE 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
February 25, 2022 - August 29, 2022
COMPASS DISTRIBUTORS, LLC
May 4, 2021 - January 24, 2022
INNOVATION PARTNERS LLC
January 8, 2020 - December 2, 2020
NEXPOINT SECURITIES, INC.
October 4, 2018 - January 23, 2020
GOLDMAN SACHS CUSTODY SOLUTIONS
June 24, 2015 - January 11, 2018
NYLIFE DISTRIBUTORS LLC
December 16, 2014 - June 12, 2015
FORESIDE FUND SERVICES, LLC
January 14, 2013 - December 31, 2014
ALPS DISTRIBUTORS, INC.
December 3, 2012 - January 10, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
March 7, 2011 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 12, 2010 - March 10, 2011
MORGAN STANLEY
April 12, 2010 - March 10, 2011
MORGAN STANLEY
January 4, 2010 - April 28, 2010
ALLSPRING FUNDS MANAGEMENT, LLC
January 4, 2010 - March 19, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
May 18, 2009 - January 4, 2010
EVERGREEN INVESTMENT MANAGEMENT CO
August 12, 2008 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 21, 2005 - August 13, 2008
VAN KAMPEN ADVISORS INC
December 21, 2005 - August 13, 2008
INVESCO CAPITAL MARKETS, INC.
July 18, 2005 - October 7, 2005
NEWEDGE SECURITIES, LLC
March 21, 2005 - January 6, 2006
SWEETWATER ASSET MANAGEMENT LLC
October 4, 2004 - March 7, 2005
AMUNDI ASSET MANAGEMENT US, INC.
June 16, 2004 - March 7, 2005
AMUNDI DISTRIBUTOR US, INC.
November 2, 2000 - June 15, 2004
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
December 19, 1996 - August 25, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
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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