Paul J. Prestia

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CRD#: 4477149

Professional summary

Paul Joseph Prestia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Paul had worked at 11 firms, which includes LAIDLAW & COMPANY (UK) LTD., NETWORK 1 FINANCIAL SECURITIES INC., MIDAMERICA FINANCIAL SERVICES INC., GLOBAL ARENA CAPITAL CORP, B.B. GRAHAM & COMPANY INC., LIBERTY PARTNERS FINANCIAL SERVICES LLC, CLARK DODGE & CO. INC., WORLD EQUITY GROUP INC., ANDREW GARRETT INC., LADENBURG THALMANN & CO. INC., CONTINENTAL BROKER-DEALER CORP..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 3, 2016 - June 30, 2017

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

MELVILLE, NY

Past

November 3, 2015 - May 11, 2016

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

Huntingon Station, NY

Past

August 29, 2014 - October 30, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

Melville, NY

Past

October 4, 2012 - September 2, 2014

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

MELVILLE, NY

Past

May 29, 2012 - October 8, 2012

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

MELVILLE, NY

Past

January 3, 2011 - May 31, 2012

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

MELVILLE, NY

Past

May 6, 2009 - January 3, 2011

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

GARDEN CITY, NY

Past

May 15, 2007 - May 29, 2009

CLARK DODGE & CO., INC.

CRD#: 23288

GARDEN CITY, NY

Past

January 12, 2006 - May 11, 2007

WORLD EQUITY GROUP, INC.

CRD#: 29087

GARDEN CITY, NY

Past

December 7, 2004 - January 6, 2006

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

September 3, 2003 - August 31, 2004

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

March 4, 2003 - September 15, 2003

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2003

General Securities Representative Examination

Current Firm

LAIDLAW & COMPANY (UK) LTD.

LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

16 Berkeley St. Suite 7.09, London, W1J 8DZ

Mailing Address

521 5th Avenue 12th Fl, New York, NY 10175

Phone number

(212) 697-5200

Established

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LAIDLAW HOLDINGS LTD	OWNER
BELLO, JAMES ALAN	CCO	2844016
DAPONTE, ARTHUR JARROD	FINOP	7801577
EITNER, MATTHEW D	CHIEF EXECUTIVE OFFICER	3267261
REGAN, HUGH	DIRECTOR - INVESTMENT BANKING	1254114
SILVERMAN, PETER HOWARD	SEO/BRANCH MANAGER	1239510

Disclosures

Regulatory Event	9
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

Paul J. Prestia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NETWORK 1 FINANCIAL SECURITIES INC.

MIDAMERICA FINANCIAL SERVICES, INC.

GLOBAL ARENA CAPITAL CORP

B.B. GRAHAM & COMPANY, INC.

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

GLOBAL ARENA CAPITAL CORP

CLARK DODGE & CO., INC.

WORLD EQUITY GROUP, INC.

ANDREW GARRETT INC.

LADENBURG THALMANN & CO. INC.

CONTINENTAL BROKER-DEALER CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/2003

SIE

Date: 6/30/2017

Series 7

Date: 3/1/2003

Current Firm

LAIDLAW & COMPANY (UK) LTD.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LAIDLAW & COMPANY (UK) LTD.

TRUST BUT VERIFY

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