Michele 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.
Michele Joan Paul was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1974. Michele had worked at 7 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2004 - May 14, 2013
GBS FINANCIAL CORP.
March 28, 2003 - May 14, 2013
GBS FINANCIAL CORP.
March 10, 2003 - March 31, 2003
MORGAN STANLEY DW INC.
July 20, 2001 - May 1, 2002
ROUND HILL SECURITIES, INC.
September 26, 1978 - April 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
August 13, 1975 - August 26, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 2, 1974 - December 9, 1974
TP ICAP GLOBAL MARKETS AMERICAS LLC
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
PC
Date: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 6/27/1974
Registered Representative ExaminationCurrent Firm
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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