Paul A. Wiggins
Professional summary
Paul Anthony Wiggins 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 advisor and started their career in finance in 2002. Prior to being barred, Paul had worked at 3 firms, which includes 1717 CAPITAL MANAGEMENT COMPANY, LPL FINANCIAL LLC, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2004 - April 30, 2008
1717 CAPITAL MANAGEMENT COMPANY
October 9, 2003 - April 30, 2008
1717 CAPITAL MANAGEMENT COMPANY
October 1, 2002 - February 22, 2003
LPL FINANCIAL LLC
March 22, 2002 - May 28, 2002
EQUITABLE ADVISORS, LLC
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
Current Firm
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
