Paul A. Negris
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 Allan Negris was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2001. Paul had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2013 - December 16, 2013
DESTRA CAPITAL INVESTMENTS LLC
March 10, 2004 - November 4, 2008
GUGGENHEIM INVESTMENTS
June 23, 2003 - May 25, 2004
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
December 12, 2001 - December 4, 2012
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
February 14, 2001 - November 15, 2001
NUVEEN SECURITIES, LLC
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
DESTRA CAPITAL INVESTMENTS LLC
CRD#: 148299 / SEC#: , 8-68006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
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.
