Paul Germain
Professional Summary
Paul Germain, who also goes by Paul Eric Germain, is a registered financial advisor currently at ONE VANDERBILT SECURITIES LLC 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 6 firms and has passed the Series 63, Series 99TO, Series 32, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Paul Eric Germain
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Years of Experience
29 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Current Firm
ONE VANDERBILT SECURITIES LLC | STONE RIDGE SECURITIES LLC
Contact Information
Main Address
1 Vanderbilt Avenue 65th Floor, New York, NY, 10017Mailing Address
1 Vanderbilt Avenue 65th Floor, New York, NY, 10017Phone Number
(212) 257-4750Established
Delaware since 08/05/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
State Registrations and Notice Filings
(8/28/2026)
(7/15/2026)
(6/23/2026)
(9/1/2026)
(6/26/2026)
(7/9/2026)
(8/4/2026)
(6/25/2026)
(7/22/2026)
(9/21/2026)
(7/7/2026)
(8/3/2026)
(6/18/2026)
(8/11/2026)
(7/27/2026)
(6/23/2026)
(6/23/2026)
(7/6/2026)
(6/23/2026)
(7/14/2026)
(7/1/2026)
(8/10/2026)
(6/25/2026)
(8/27/2026)
(6/18/2026)
(8/27/2026)
(7/16/2026)
(6/29/2026)
(6/18/2026)
(8/13/2026)
(9/2/2026)
(7/20/2026)
(6/11/2025)
(6/18/2026)
(8/11/2026)
(6/29/2026)
(6/18/2026)
(7/8/2026)
(6/23/2026)
(9/17/2026)
(6/18/2026)
(7/7/2026)
(9/15/2026)
(7/1/2026)
(9/3/2026)
(6/18/2026)
(6/24/2026)
(7/22/2026)
(7/21/2026)
(7/8/2026)
(9/3/2026)
(7/22/2026)
(7/24/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2003About the Series 9 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view Paul Germain's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
