Paul R. Burgeson
Professional summary
Paul Roger Burgeson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Paul had worked at 7 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., SII INVESTMENTS INC., FFP SECURITIES INC., SECURITIES AMERICA INC., SUNAMERICA SECURITIES INC., ANCHOR NATIONAL FINANCIAL SERVICES INC., WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 1999 - October 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 24, 1998 - October 6, 1999
SII INVESTMENTS, INC.
June 22, 1998 - August 21, 1998
FFP SECURITIES, INC.
November 1, 1995 - June 19, 1998
SII INVESTMENTS, INC.
July 5, 1995 - November 2, 1995
SECURITIES AMERICA, INC.
May 19, 1992 - July 11, 1995
SUNAMERICA SECURITIES, INC.
November 9, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 1, 1970 - November 14, 1990
WADDELL & REED
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: 4/23/1970
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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