Paul P. Heldman
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 Pascal Heldman was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2001. Paul had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 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
February 16, 2012 - July 9, 2021
IRC SECURITIES LLC
February 28, 2011 - December 1, 2011
CAPFI PARTNERS LLC
August 26, 2010 - January 22, 2016
POTOMAC RESEARCH GROUP
November 12, 2004 - December 15, 2008
CITIGROUP GLOBAL MARKETS INC.
June 2, 2003 - November 9, 2004
CHARLES SCHWAB & CO., INC.
June 26, 2001 - June 10, 2003
UBS CAPITAL MARKETS L.P.
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
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
