Paul G. Palm
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 Gordon Palm was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1969. Paul had worked at 5 firms and has passed the Series 63, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1989 - December 31, 2014
CROSSPLAN MONEY MANAGEMENT
June 1, 1987 - October 9, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 1984 - June 16, 1987
RAYMOND JAMES & ASSOCIATES, INC.
November 2, 1979 - May 14, 1984
A. G. EDWARDS & SONS, INC.
March 3, 1978 - April 27, 1984
A. G. EDWARDS & SONS, INC.
November 21, 1977 - April 13, 1978
NIES/BRAUER SECURITIES, INC.
December 16, 1969 - December 17, 1977
A. G. EDWARDS & SONS, 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
Series 1
Date: 9/17/1963
Registered Representative ExaminationSeries 12
Date: 9/16/1968
NYSE Branch Manager ExaminationCurrent Firm
CROSSPLAN MONEY MANAGEMENT
CRD#: 129489 / SEC#: 801-69084
Contact information
Regulatory assets under management
| Total Number of Accounts | 301 |
| AUM (Assets Under Management) | $ 49,611,544 |
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.
