Paul C. Mindnich
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.
Paul Christophe Mindnich was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1966. Paul had worked at 9 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1986 - October 28, 1987
LEHMAN BROTHERS INC.
April 15, 1982 - May 23, 1986
PRUDENTIAL EQUITY GROUP, LLC
March 17, 1982 - March 22, 1982
BALIS & ZORN INC.
October 15, 1980 - November 24, 1981
R. E. BOLTON & CO., INC.
February 11, 1980 - December 10, 1980
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
November 13, 1979 - December 30, 1979
REICH & CO., INC.
May 7, 1975 - September 6, 1979
FAHERTY & FAHERTY INC.
January 25, 1974 - May 30, 1975
HARDY & CO.
February 14, 1966 - February 15, 1974
KERBS & CO
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: 10/17/1957
Registered Representative ExaminationCurrent Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
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.
