Paul S. Tarantino
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 Salvador Tarantino was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2000. Paul had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2013 - September 6, 2017
OBS FINANCIAL
January 2, 2013 - March 28, 2014
OBS BROKERAGE SERVICES, INC.
October 12, 2012 - October 29, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2012 - October 29, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2012 - September 14, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 30, 2012 - September 14, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 13, 2000 - March 27, 2002
UBS FINANCIAL SERVICES 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
Current Firm
OBS FINANCIAL
CRD#: 138615 / SEC#: 801-65110
Contact information
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.
