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Frederick O. Paulsell

Some features on this profile are disabled
CRD#: 358289
FP

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.

Frederick Oliver Paulsell JR, who also goes by Federick Oliver Paulsell Jr, Frederick O Paulsell Jr, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1963. Frederick had worked at 6 firms and has passed the Series 63, Series 1 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Federick Oliver Paulsell Jr | Frederick O Paulsell Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 14, 2001 - November 5, 2002

CRAIG & ASSOCIATES, INC.

BD
CRD#: 10646
MERCER ISLAND, WA
Past

August 22, 1995 - May 19, 1999

OLYMPIC CAPITAL PARTNERS SECURITIES L.L.C.

BD
CRD#: 38704
SEATTLE, WA
Past

August 18, 1987 - June 7, 1995

FOSTER & BAKER, INC.

BD
CRD#: 14272
SEATTLE, WA
Past

June 10, 1983 - October 30, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

July 25, 1972 - August 22, 1987

FOSTER & MARSHALL INC.

BD
CRD#: 321
Past

February 8, 1963 - May 26, 1972

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 2/5/1963
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 7/27/1973
General Securities Principal Examination

Current Firm

C&
CRAIG & ASSOCIATES, INC.
BUERK CRAIG VICTOR PCG CEASED 5-1-04 | CRAIG & ASSOCIATES, INC. | CRAIG & ASSOCIATES | BUERK CRAIG VICTOR PRIVATE CAPITAL GROUP

CRD#: 10646 / SEC#: , 8-32233

BD
Terminated by SEC on 06/27/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/01/1984
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CRAIG, GARY LYNNPRESIDENT CRAIG & ASSOCIATES, GENERAL MEMBER BUERK CRAIG VICTOR LLC, CHIEF COMPLIANCE OFFICER, AML CONTACT874487

Disclosures

Regulatory Event2

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.

Company Information

CRAIG & ASSOCIATES, INC.

CRD#: 10646

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