Paul E. Soll
Professional summary
Paul Edward Soll was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Paul had worked at 6 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., FINANCIAL WEST GROUP, SRM SECURITIES INCORPORATED, CIBC WORLD MARKETS CORP., CANTOR FITZGERALD & CO., NEWBURGER LOEB & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - June 22, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
June 25, 2012 - August 21, 2017
FINANCIAL WEST GROUP
June 6, 1986 - October 3, 2012
SRM SECURITIES, INCORPORATED
January 23, 1984 - May 28, 1986
CIBC WORLD MARKETS CORP.
March 11, 1983 - January 31, 1984
CANTOR FITZGERALD & CO.
December 5, 1977 - March 8, 1983
CIBC WORLD MARKETS CORP.
July 1, 1970 - April 23, 1971
NEWBURGER, LOEB & 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 1
Date: 9/3/1963
Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
