Christopher V. Paul
Professional summary
Christopher Vincent Paul was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Christopher had worked at 8 firms, which includes JOSEPH STONE CAPITAL L.L.C., AEGIS CAPITAL CORP., ROCKWELL SECURITIES LLC, MCBARRON CAPITAL LLC, ARJENT LTD., WHITAKER SECURITIES LLC, GRANITE ASSOCIATES INC, S.W. BACH & COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2014 - August 6, 2015
JOSEPH STONE CAPITAL L.L.C.
June 11, 2012 - February 24, 2014
AEGIS CAPITAL CORP.
July 8, 2008 - July 10, 2012
ROCKWELL SECURITIES LLC
April 11, 2006 - July 21, 2008
MCBARRON CAPITAL LLC
April 4, 2006 - October 6, 2006
ARJENT LTD.
March 24, 2006 - April 10, 2006
WHITAKER SECURITIES LLC
February 11, 2005 - April 12, 2006
GRANITE ASSOCIATES, INC
May 24, 2001 - February 17, 2005
S.W. BACH & COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 5/23/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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