Paul David Vinton
Professional Summary
Paul David Vinton was a registered financial advisor. Paul was a previously registered financial professional and started their career in finance 1973 - 2003. Paul had worked at 10 firms and has passed the Series 63, Series 5, Series 1, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
53 years in the financial services industry
Current & Past Employments
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Current Firm
SOUTHWEST CLEARING CORP.
Contact Information
Established
Delaware since 09/30/1998Firm Type
CorporationFiscal Year End
JuneDocuments
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
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed May 1973F04 — Financial Principal Examination
Passed Jan 1977Series 40 — Registered Principal Examination
Passed Jan 1977Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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