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Paul S. Giamboi

LPS CAPITAL LLC
Palm Beach Gardens, FL 33410
Some features on this profile are disabled
CRD#: 2962776
PG

Professional summary

Paul Steven Giamboi is a registered financial professional currently at LPS CAPITAL LLC located in Palm Beach Gardens, Florida.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1999. Paul has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Steven Giamboi'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 1, 2021 - Present

LPS CAPITAL LLC

Office #1: 4400 Pga Blvd Suite 303, Palm Beach Gardens, FL 33410
BD
CRD#: 155246
Palm Beach Gardens, FL
Past

January 13, 2012 - June 9, 2021

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
Palm Beach Gardens, FL
Past

March 10, 2009 - January 12, 2012

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

August 1, 2000 - October 18, 2005

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

July 20, 2000 - August 1, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

January 4, 1999 - April 4, 2002

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(6/1/2021)
RR
Connecticut
(6/1/2021)
RR
Florida
(6/1/2021)
RR
Illinois
(6/1/2021)
RR
New Jersey
(6/1/2021)
RR
New York
(6/1/2021)
RR
Texas
(6/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/8/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/9/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

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

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
MEENAN, MICHAEL JSUPERVISING PRINCIPAL5368683
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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.

Company Information

LPS CAPITAL LLC

CRD#: 155246Palm Beach Gardens, FL 33410

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