FP
Francis N. Paulino
WEDBUSH SECURITIES
New York, NY 10019
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CRD#: 4023588
FP
Professional summary
Francis N Paulino is a registered financial professional currently at WEDBUSH SECURITIES INC. located in New York, New York and WEDBUSH & CO., LLC located in New York, New York.
Francis is registered as a RR (Registered Representative) and started their career in finance in 2000. Francis has worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 57, Series 55, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Francis N Paulino's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 30, 2016 - Present
WEDBUSH SECURITIES INC.
Office #1: 142 West 57th Street 12th Floor, New York, NY 10019RIA
BD
CRD#: 877
New York, NY
Current
October 6, 2025 - Present
WEDBUSH & CO., LLC
Office #1: 142 West 57th Street 12th Floor, New York, NY 10019BD
CRD#: 328492
New York, NY
Past
October 26, 2011 - November 29, 2016
NSX SECURITIES LLC
BD
CRD#: 141378
JERSEY CITY, NJ
Past
August 15, 2011 - January 17, 2012
TOD'S POINT CAPITAL LLC
BD
CRD#: 149691
OLD GREENWICH, CT
Past
July 11, 2007 - March 14, 2011
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
September 8, 2006 - July 3, 2007
SEAMOUNT EXECUTION SERVICES LLC
BD
CRD#: 139242
NEW YORK, NY
Past
May 2, 2002 - July 17, 2003
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
February 14, 2000 - April 2, 2002
ICAPITAL MARKETS LLC
BD
CRD#: 5209
OMAHA, NE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/6/2025)
RR
California(10/6/2025)
RR
Colorado(10/6/2025)
RR
Connecticut(10/6/2025)
RR
District of Columbia(10/6/2025)
RR
Florida(10/6/2025)
RR
Illinois(10/6/2025)
RR
Maryland(10/6/2025)
RR
Massachusetts(10/6/2025)
RR
Michigan(10/6/2025)
RR
Minnesota(10/6/2025)
RR
New Jersey(10/6/2025)
RR
New York(11/30/2016)
RR
North Carolina(10/6/2025)
RR
Pennsylvania(10/6/2025)
RR
Tennessee(10/6/2025)
RR
Texas(10/6/2025)
RR
Utah(10/6/2025)
RR
Virginia(10/6/2025)
RR
Washington(10/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/10/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
W&
WEDBUSH & CO., LLC
WEDBUSH & CO., LLC
CRD#: 328492 / SEC#: , 8-71158
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
142 West 57th Street 12th Floor, New York, NY, 10019
Mailing Address
142 West 57th Street 12th Floor, New York, NY, 10019
Phone number
(212) 931-7088
Established
Delaware since 06/23/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (20 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | SOLE MEMBER | |
| BILLINGS, DANIEL ERIC | MANAGER | 4568232 |
| BULGER, MARK ANDREW | CCO | 5063497 |
| DEMPSEY, FRANCIS BURKE | PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | MANAGER AND GENERAL COUNSEL | 1688071 |
| HULTGREN, DONALD WAYNE | MANAGER | 1475369 |
| KIRKMAN, SAMANTHA | CFO, PFO, COO & POO | 6892438 |
| WEDBUSH, GARY LANCE | MANAGER | 2234455 |
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.
