Paul D. Vinton
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 David Vinton was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1973. Paul had worked at 10 firms and has passed the Series 63, Series 5, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 1999 - December 2, 2003
SOUTHWEST CLEARING CORP.
May 16, 1995 - January 6, 2012
HILLTOP SECURITIES INC.
June 24, 1993 - May 11, 1995
STEPHENS
November 17, 1992 - June 11, 1993
BANC ONE SECURITIES CORPORATION
July 29, 1992 - June 11, 1993
BANC ONE SECURITIES CORPORATION
July 8, 1991 - August 19, 1992
ALLIANCE FINANCIAL GROUP, INC.
April 17, 1991 - June 30, 1992
LOMBARD SECURITIES INCORPORATED
April 4, 1991 - December 31, 1991
DOMINION INVESTOR SERVICES, INC.
September 20, 1988 - March 30, 1990
MOMENTUM INDEPENDENT NETWORK INC.
November 19, 1981 - September 7, 1988
DFW CLEARING, INC.
October 31, 1978 - August 18, 1981
HILLTOP SECURITIES INC.
May 21, 1973 - August 10, 1978
DICKINSON & CO.
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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 5/16/1973
Registered Representative ExaminationF04
Date: 1/19/1977
Financial Principal ExaminationSeries 40
Date: 1/19/1977
Registered Principal ExaminationCurrent Firm
SOUTHWEST CLEARING CORP.
CRD#: 46273 / SEC#: , 8-51364
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS GROUP, INC. | PUBLICLY TRADED FIRM | |
| HANKS, KENNETH RAY | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1812450 |
| HANKS, KENNETH RAY | CEO | 1812450 |
| HODGES, STACY MALINDA | VICE PRESIDENT/CFO/TREASURER | 2544755 |
| KNOWLES, PHYLLIS JEAN | CCO | 1275616 |
| LELAND, DANIEL ROGER | DIRECTOR/PRESIDENT | 1157737 |
| MCBEY, ROBERT GEORGE | SENIOR VP/DIRECTOR OF OPERATIONS/SROP & CROP | 2337241 |
| TUBB, ALLEN R | SECRETARY | |
| WADE, JEROME STEPHEN | VICE PRESIDENT/GENERAL COUNSEL | 809998 |
| WHITE, ANGELA PERRIN | MSRB | 2423707 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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