Paul V. Hastings
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 Vincent Hastings was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1997. Paul had worked at 8 firms and has passed the Series 63, 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
June 11, 2015 - June 19, 2017
FIS BROKERAGE & SECURITIES SERVICES LLC
June 5, 2013 - May 2, 2014
REUTERS TRANSACTION SERVICES LLC
October 7, 2009 - June 1, 2011
BGC FINANCIAL, L.P.
July 29, 2009 - October 27, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
June 22, 2006 - October 27, 2009
PREBON FINANCIAL PRODUCTS INC.
November 3, 2004 - June 20, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
July 12, 2000 - November 4, 2004
TULLETT PREBON FINANCIAL SERVICES LLC
March 20, 1999 - February 7, 2000
TULLETT LIBERTY BROKERAGE INC.
December 24, 1997 - January 19, 1999
M.W. MARSHALL SECURITIES, L.L.C
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
Current Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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