Paul M. Gozzo
Professional summary
Paul Michael Gozzo was barred by the SEC 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 1999. Prior to being barred, Paul had worked at 7 firms, which includes MERGER & ACQUISITION CAPITAL SERVICES LLC, SOURCE CAPITAL GROUP INC., LEDGEMONT CAPITAL MARKETS LLC, GRYPHON FINANCIAL SECURITIES CORP., WORLDCO L.L.C., LION'S GROUP TRADING LLC, FANO SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2008 - October 28, 2008
MERGER & ACQUISITION CAPITAL SERVICES, LLC
November 19, 2007 - November 21, 2008
SOURCE CAPITAL GROUP, INC.
February 8, 2007 - April 12, 2007
LEDGEMONT CAPITAL MARKETS LLC
October 10, 2005 - April 19, 2006
GRYPHON FINANCIAL SECURITIES CORP.
March 13, 2003 - April 4, 2003
WORLDCO, L.L.C.
May 2, 2002 - February 19, 2003
LION'S GROUP TRADING LLC
June 1, 1999 - June 21, 2001
WORLDCO, L.L.C.
March 31, 1999 - May 27, 1999
FANO SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 6/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
MERGER & ACQUISITION CAPITAL SERVICES, LLC
CRD#: 135113 / SEC#: , 8-66892
Contact information
FINRA licenses (19 States and Territories)
Documents
Red Flags
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