Paul Germain

ONE VANDERBILT SECURITIES LLC

New York, NY 10017

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CRD#: 2931495

Professional summary

Paul Germain, who also goes by Paul Eric Germain, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Eric Germain

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) - BD

Click below to view Paul Germain's CRS (Customer Relationship Summary).

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

Current

June 9, 2025 - Present

ONE VANDERBILT SECURITIES LLC

Office #1: 1 Vanderbilt Ave 65th Floor, New York, NY 10017

CRD#: 332860

New York, NY

Past

January 29, 2021 - April 22, 2025

FORESIDE GLOBAL SERVICES, LLC

CRD#: 147382

New York, NY

Past

January 7, 2021 - January 29, 2021

FLOURISH FINANCIAL LLC

CRD#: 293019

NEW YORK, NY

Past

December 4, 2018 - December 31, 2020

FLOURISH FINANCIAL LLC

CRD#: 293019

NEW YORK, NY

Past

July 29, 2013 - May 8, 2015

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC

CRD#: 151470

NEW YORK, NY

Past

April 5, 2010 - May 8, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 3, 1997 - December 8, 2009

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/11/2025)

Exams

State Security Law Exam

Series 63

Date: 9/17/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 6/9/2025

Operations Professional Examination

General Industry/Product Exam

Series 32

Date: 5/21/2018

Limited Futures Exam-Regulation

General Industry/Product Exam

SIE

Date: 5/8/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/8/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/28/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/13/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/15/2003

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

ONE VANDERBILT SECURITIES LLC

ONE VANDERBILT SECURITIES LLC | STONE RIDGE SECURITIES LLC

CRD#: 332860 / SEC#: , 8-71289

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Vanderbilt Avenue 65th Floor, New York, NY, 10017

Mailing Address

1 Vanderbilt Avenue 65th Floor, New York, NY, 10017

Phone number

(212) 257-4750

Established

Delaware since 08/05/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STONE RIDGE HOLDINGS GROUP LP	MANAGING MEMBER
GERMAIN, PAUL	PRESIDENT	2931495
PROSKIN, DAVID S	CFO	5062532
WHITNEY, DANIEL WILLIAM	CHIEF COMPLIANCE OFFICER	7033930

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.

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Firm Stability Insights

Paul Germain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Germain's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE GLOBAL SERVICES, LLC

FLOURISH FINANCIAL LLC

FLOURISH FINANCIAL LLC

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/2018

Series 99TO

Date: 6/9/2025

Series 32

Date: 5/21/2018

SIE

Date: 5/8/2015

Series 3

Date: 9/8/1997

Series 7

Date: 8/28/1997

Series 10

Date: 1/13/2004

Series 9

Date: 12/15/2003

FINRA

Current Firm

ONE VANDERBILT SECURITIES LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ONE VANDERBILT SECURITIES LLC

TRUST BUT VERIFY

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