Paul F. Testa
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 Francis Testa, who also goes by Paul F Testa, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1970. Paul had worked at 3 firms and has passed the Series 52TO, Series 7TO, Series 57TO, SIE, Series 55, Series 1, Series 24, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 1984 - January 2, 2024
WOOD (ARTHUR W.) COMPANY, INC.
May 10, 1982 - March 1, 1984
BURGESS & LEITH INCORPORATED
November 12, 1970 - April 14, 1982
BARRETT & COMPANY
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 1/12/1965
Registered Representative ExaminationSeries 00
Date: 3/19/1971
General Securities Principal ExaminationCurrent Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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