Paul J. Resnik
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 Jay Resnik, CFA was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1972. Paul had worked at 19 firms and has passed the Series 63, Series 65, Series 87, Series 7, Series 16, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2022 - March 31, 2026
ROUND ROCK ADVISORS LLC
February 1, 2013 - October 17, 2013
MERRIMAN CAPITAL, INC.
May 7, 2009 - January 12, 2011
COLUMBUS ADVISORY GROUP, LTD.
August 1, 2003 - November 24, 2003
SOLEIL SECURITIES CORPORATION
July 30, 2002 - June 23, 2003
WINDSOR STREET CAPITAL, LP
January 17, 2002 - April 14, 2002
WINDSOR STREET CAPITAL, LP
November 8, 1999 - August 16, 2000
JOSEPH STEVENS & CO., INC.
June 12, 1997 - January 14, 2002
EASTBROOK CAPITAL GROUP LLC
December 4, 1996 - July 14, 1997
THE HIGHLAND CAPITAL GROUP, INC.
April 4, 1995 - May 13, 2019
RESNIK ASSET MANAGEMENT CO., INC.
September 7, 1993 - March 9, 1995
CITIGROUP GLOBAL MARKETS INC.
March 7, 1988 - September 7, 1993
LEHMAN BROTHERS INC.
August 13, 1981 - March 7, 1988
E. F. HUTTON & COMPANY INC
April 29, 1980 - July 15, 1981
UBS ASSET MANAGEMENT (US) INC.
July 9, 1979 - April 14, 1980
LEHMAN BROTHERS INC.
September 26, 1978 - December 3, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1978 - July 9, 1979
LOEB PARTNERS
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
March 1, 1974 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
April 6, 1973 - April 16, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 15, 1972 - May 27, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
Primary Firm SEC Registration
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
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 000
Date: 6/12/1972
General Securities Principal ExaminationSeries 1
Date: 6/12/1972
Registered Representative ExaminationCurrent Firm
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,126 |
| AUM (Assets Under Management) | $ 814,558,622 |
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.
