Richard L. Paulson
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.
Richard Louis Paulson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 8 firms and has passed the Series 65, Series 66, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 31, 2017 - December 31, 2019
LUXTON FINANCIAL
October 19, 2016 - December 31, 2017
LUXTON FINANCIAL
May 23, 2006 - December 31, 2007
INVESTORS CAPITAL CORP.
April 25, 2006 - December 31, 2007
INVESTORS CAPITAL CORP.
April 18, 2006 - April 24, 2006
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
February 9, 2005 - April 12, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 1, 2003 - February 8, 2005
MORGAN STANLEY DW INC.
January 7, 2002 - July 8, 2002
KASHNER DAVIDSON SECURITIES CORPORATION
November 21, 2001 - January 9, 2002
IDS LIFE INSURANCE COMPANY
November 21, 2001 - January 9, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LUXTON FINANCIAL
CRD#: 146114 / SEC#:
Contact information
Red Flags
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