PR
Paul E. Romain
BLOOMBERG TRADEBOOK CANADA COMPANY
Toronto, M5J 2S1
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CRD#: 2969765
PR
Professional summary
Paul Edward Romain is a registered financial professional currently at BLOOMBERG TRADEBOOK CANADA COMPANY .
Paul is registered as a RR (Registered Representative) and started their career in finance in 2022. Paul has worked at 1 firm and has passed the Series 7TO and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Paul Edward Romain'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®
NoneExperience
Current
June 27, 2022 - Present
BLOOMBERG TRADEBOOK CANADA COMPANY
Office #1: Brookfield Place,td Canada Trust Tower,161 Bay St Suite 4300, Toronto, M5J 2S1Office #2: Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1BD
CRD#: 313267
Toronto,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 6/24/2022
General Securities Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BT
BLOOMBERG TRADEBOOK CANADA COMPANY
BLOOMBERG TRADEBOOK CANADA COMPANY
CRD#: 313267 / SEC#: , 8-70683
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Mailing Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Phone number
(212) 617-4865
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| BRIDGEFORD, SOH HYONG | CHIEF COMPLIANCE OFFICER | 7114514 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
Red Flags
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