Nicholas J. 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.
Nicholas Joseph Paul, who also goes by Nicholas Paul, Nick Paul, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1999. Nicholas had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2010 - May 16, 2018
MFS FUND DISTRIBUTORS, INC.
September 19, 2006 - March 15, 2010
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 26, 2001 - December 13, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 17, 2000 - June 14, 2001
CHARLES SCHWAB & CO., INC.
August 24, 1999 - October 9, 2000
RAYMOND JAMES & ASSOCIATES, INC.
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
MFS FUND DISTRIBUTORS, INC.
CRD#: 31052 / SEC#: , 8-45321
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | PARENT COMPANY | |
| GEREMIA, CAROL WILLIAM | DIRECTOR AND CHAIRMAN OF THE BOARD | 1456883 |
| HARDIN, HEIDI WALTER | SECRETARY | 2619251 |
| HUNT, MICHAEL ANDREW | CHIEF COMPLIANCE OFFICER | 4150065 |
| KEENAN, MICHAEL SEAN | PRESIDENT AND DIRECTOR | 2324763 |
| SMELSTOR, JOSEPH JOHN IV | TREASURER AND SENIOR GROUP CONTROLLER | 6247186 |
Disclosures
| Regulatory Event | 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.
