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Paul W. Roles

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CRD#: 2847856
PR

Professional summary

Paul William Roles was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Paul had worked at 8 firms, which includes INVESTORS CAPITAL CORP., ROBERT R. MEREDITH & CO. INC., S.W. BACH & COMPANY, JOSEPH GUNNAR & CO. LLC, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., MORGAN STANLEY DW INC., W.J. NOLAN & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 22, 2005 - June 25, 2007

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NEW YORK, NY
Past

November 30, 2004 - December 15, 2005

ROBERT R. MEREDITH & CO., INC.

BD
CRD#: 29501
NEW YORK, NY
Past

March 19, 2004 - November 24, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

November 28, 2003 - March 25, 2004

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

November 20, 2002 - December 9, 2003

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

December 3, 2001 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

May 12, 2000 - December 5, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 13, 1997 - December 4, 1997

W.J. NOLAN & COMPANY, INC.

BD
CRD#: 16465
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/24/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 8/28/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/2000
General Securities Representative Examination

Current Firm

IC
INVESTORS CAPITAL CORP.
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD
Terminated by SEC on 01/17/2017
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Contact information

Main Address
6 Kimball Lane, Lynnfield, MA 01940
Mailing Address
Phone number
Established
Massachusetts since 07/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)
TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event22
Arbitration11

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.

Company Information

INVESTORS CAPITAL CORP.

CRD#: 30613

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