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Philippe A. Allain

PAULSON INVESTMENT COMPANY LLC
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 4434945
PA

Professional summary

Philippe Alexandre Allain, who also goes by Philippe Alexandre Allain, Philippe Allain, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Fort Lauderdale, Florida.

Philippe is registered as a RR (Registered Representative) and started their career in finance in 2001. Philippe has worked at 11 firms and has passed the Series 63, Series 82TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Philippe Alexandre Allain | Philippe Allain

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philippe Alexandre Allain's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 18, 2023 - Present

PAULSON INVESTMENT COMPANY LLC

Office #1: 200 East Las Olas Blvd 14th Floor, Fort Lauderdale, FL, 33301
BD
CRD#: 5670
Fort Lauderdale, FL
Past

February 8, 2023 - March 27, 2023

MAXIM GROUP LLC

BD
CRD#: 120708
Ft Lauderdale, FL
Past

January 21, 2020 - December 20, 2022

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
BOCA RATON, FL
Past

April 24, 2018 - January 17, 2020

THINKEQUITY LLC

BD
CRD#: 20996
New York, NY
Past

October 11, 2016 - April 19, 2018

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

November 6, 2013 - January 8, 2016

SUNRISE BROKERS LLC

BD
CRD#: 151012
NEW YORK, NY
Past

January 8, 2013 - October 28, 2013

DU PASQUIER & CO., INC.

BD
CRD#: 24750
NEW YORK, NY
Past

July 18, 2012 - December 11, 2012

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

February 25, 2010 - October 22, 2010

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

January 23, 2006 - October 19, 2009

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

October 14, 2004 - February 16, 2006

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

July 3, 2002 - September 7, 2004

LOUIS CAPITAL MARKETS, LLC

BD
CRD#: 48013
PARIS,
Past

November 28, 2001 - May 29, 2002

NATEXIS SECURITIES, INC.

BD
CRD#: 45102
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/4/2025)
RR
Connecticut
(4/18/2023)
RR
Florida
(5/11/2023)
RR
Nevada
(8/23/2023)
RR
New Jersey
(4/18/2023)
RR
New York
(4/18/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/18/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/20/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/27/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PI
PAULSON INVESTMENT COMPANY LLC
PAULSON INVESTMENT COMPANY LLC | PAULSON WEALTH ADVISORS | PAULSON INVESTMENT COMPANY, LLC | PAULSON INVESTMENT COMPANY, INC.

CRD#: 5670 / SEC#: 801-107194, 8-26807

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
10220 Sw Greenburg Rd Suite 465, Lake Oswego, OR 97035
Mailing Address
10220 Sw Greenburg Rd Suite 380, Portland, OR 97223
Phone number
(503) 243-6000
Established
Delaware since 03/23/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PAULSON CAPITAL HOLDING COMPANY, LLCOWNER
CLARK, CHRISTOPHER STEVENCHAIRMAN, ELECTED MANAGER1952666
PARIGIAN, THOMAS STEWARTELECTED MANAGER1398840
SETTEDUCATI, ROBERT JOSEPHELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT1352722
DAVIS, TRENT DONALDCHIEF EXECUTIVE OFFICER2137171
RASMUSSEN, KATHLEEN HATLELICHIEF COMPLIANCE OFFICER2608755
WINKS, MALCOLM ALEXANDERPRESIDENT AND CFO/FINOP5153752

Disclosures

Regulatory Event35
Civil Event1
Arbitration8
Bond1

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.

Company Information

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670Fort Lauderdale, FL 33301

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