Vijay D. Paul
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.
Vijay D Paul, who also goes by VIjay David Paul, Vijay Paul, was a registered financial professional .
Vijay is a previously registered financial professional and started their career in finance in 1998. Vijay had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2014 - August 28, 2015
WORLD INVESTMENTS, LLC
June 20, 2007 - May 3, 2013
ALLSTATE FINANCIAL SERVICES, LLC
April 11, 2006 - May 3, 2007
1717 CAPITAL MANAGEMENT COMPANY
April 4, 2006 - May 3, 2007
1717 CAPITAL MANAGEMENT COMPANY
July 30, 2002 - September 3, 2004
EQUITABLE ADVISORS, LLC
April 6, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 6, 1998 - September 3, 2004
EQUITABLE ADVISORS, LLC
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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
