Paul Giammattei
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 Giammattei, who also goes by Paul Joseph Giammattei, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2002. Paul had worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2018 - November 19, 2018
WELLS FARGO PRIME SERVICES, LLC
July 12, 2016 - December 3, 2021
WELLS FARGO SECURITIES, LLC
October 25, 2013 - June 2, 2016
BNP PARIBAS PRIME BROKERAGE, INC.
April 3, 2006 - June 2, 2016
BNP PARIBAS SECURITIES CORP.
December 17, 2003 - May 25, 2005
UBS SERVICES USA LLC
January 31, 2002 - January 9, 2004
BNP PARIBAS SECURITIES CORP.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/18/2022
General Securities Representative ExaminationCurrent Firm
WELLS FARGO PRIME SERVICES, LLC
CRD#: 133068 / SEC#: , 8-66677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | OWNER | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| HALL, JEFFREY | CHIEF OPERATIONS OFFICER | 5292396 |
| KEARNS, WILLIAM J | MANAGER | 2127701 |
| LANGIS, DARREN JOSEPH | MANAGER | 2781108 |
| LEONE, JOHN | MANAGER | 7164476 |
| MCCOOEY, EAMON PATRICK | CEO, PRESIDENT, MANAGER | 1762536 |
| RILEY, MICHAEL FRANCIS | MANAGER | 4165280 |
| YI, SCOTT HUN | CHIEF COMPLIANCE OFFICER | 3152646 |
Disclosures
| Regulatory Event | 4 |
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.
