A A. Paulus
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.
A Alan Paulus, who also goes by Alfred Alan Paulus, was a registered financial professional .
A is a previously registered financial professional and started their career in finance in 1969. A had worked at 11 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2010 - October 5, 2012
HEFREN-TILLOTSON, INC.
March 1, 2010 - October 5, 2012
HEFREN-TILLOTSON, INC.
June 1, 2009 - March 15, 2010
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 21, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
April 21, 1999 - March 31, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
December 23, 1994 - April 21, 1999
PNC BROKERAGE CORP
June 19, 1990 - December 23, 1994
PNC CAPITAL MARKETS LLC
November 22, 1988 - July 11, 1990
DRIZOS INVESTMENTS, INC.
April 1, 1980 - October 18, 1988
THOMSON MCKINNON SECURITIES INC.
July 21, 1977 - February 11, 1980
HEFREN-TILLOTSON, INC.
January 29, 1976 - August 22, 1977
E. F. HUTTON & COMPANY INC
December 10, 1969 - February 8, 1976
MOORE, LEONARD & LYNCH, INCORPORATED
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: 6/22/1988
AMEX Put and Call ExamSeries 1
Date: 1/15/1958
Registered Representative ExaminationSeries 00
Date: 4/28/1969
General Securities Principal ExaminationCurrent Firm
HEFREN-TILLOTSON, INC.
CRD#: 53 / SEC#: 801-55083, 8-10646
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASTERPLAN, INC. | OWNER OF HEFREN TILLOTSON | |
| BELT, DONALD MCGHEE | PRESIDENT | 2252406 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| FLEMING, KIMBERLY TILLOTSON | DIRECTOR | 871264 |
| MEREDITH, JAMES GERARD | EXECUTIVE VICE PRESIDENT | 853602 |
| NIESSLEIN, JOSEPH M | CFO / TREASURER | 3057789 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| TADDEO, PAUL EDWARD | CHIEF COMPLIANCE OFFICER | 1259114 |
| TILLOTSON, CRAIG ARTHUR | VICE CHAIRMAN | 1296742 |
Regulatory assets under management
| Total Number of Accounts | 30,861 |
| AUM (Assets Under Management) | $ 12,430,043,340 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
