Darol K. Paulsen
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.
Darol Kenneth Paulsen was a registered financial professional .
Darol is a previously registered financial professional and started their career in finance in 1970. Darol had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 1, Series 24, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 1999 - November 29, 2024
CROWN CAPITAL SECURITIES, L.P.
May 16, 1985 - January 27, 1999
TITAN/VALUE EQUITIES GROUP, INC.
October 9, 1984 - May 30, 1985
FRANKLIN REAL ESTATE DISTRIBUTORS, INC.
November 29, 1983 - August 20, 1984
APPCO SECURITIES, INC.
November 14, 1977 - January 27, 1999
TITAN/VALUE EQUITIES GROUP, INC.
March 2, 1970 - December 11, 1977
M. H. DECKARD & CO., 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 2/19/1970
Registered Representative ExaminationSeries 40
Date: 1/24/1977
Registered Principal ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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