Delbert T. Laface
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.
Delbert Tee Laface, who also goes by Del Laface, was a registered financial professional .
Delbert is a previously registered financial professional and started their career in finance in 1972. Delbert had worked at 8 firms and has passed the Series 63, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1989 - August 30, 1996
PAULSON INVESTMENT COMPANY LLC
May 7, 1987 - August 5, 1989
COVEY & CO., INC.
July 14, 1986 - May 2, 1987
LOS ANGELES SECURITIES
October 12, 1985 - July 1, 1986
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
October 9, 1984 - October 11, 1985
JESUP & LAMONT SECURITIES CO., INC.
February 15, 1978 - October 17, 1984
STERN FISHER EDWARDS INC
April 12, 1977 - April 7, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
February 9, 1972 - August 19, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
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 1
Date: 1/31/1972
Registered Representative ExaminationF04
Date: 12/15/1977
Financial Principal ExaminationSeries 40
Date: 11/21/1977
Registered Principal ExaminationCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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