Paul D. Daggett
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 Donald Daggett was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1997. Paul had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, 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
September 25, 2019 - December 31, 2019
HIGHTOWER SECURITIES, LLC
September 16, 2019 - September 25, 2019
HIGHTOWER SECURITIES, LLC
January 17, 2007 - March 30, 2007
VSR FINANCIAL SERVICES, INC.
November 27, 2006 - December 31, 2006
VSR FINANCIAL SERVICES, INC.
March 7, 2003 - November 17, 2006
VSR FINANCIAL SERVICES, INC.
March 20, 1998 - November 17, 2006
VSR FINANCIAL SERVICES, INC.
September 25, 1997 - March 23, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 25, 1997 - March 23, 1998
OSAIC FA, INC.
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
Series 7TO
Date: 9/16/2019
General Securities Representative ExaminationCurrent Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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