Paul V. Wessling
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 Vincent Wessling was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1969. Paul had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 24, Series 12 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
October 30, 2006 - January 2, 2024
WOOD (ARTHUR W.) COMPANY, INC.
February 26, 2002 - July 28, 2005
W.R. HAMBRECHT + CO., LLC
May 1, 2001 - July 17, 2001
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
October 2, 1992 - February 1, 2000
HAMBRECHT & QUIST LLC
November 22, 1989 - August 20, 1992
NEEDHAM & COMPANY, LLC
June 20, 1989 - January 6, 1990
MORGAN STANLEY DW INC.
February 13, 1985 - November 5, 1988
ROBERTSON, STEPHENS & COMPANY LLC
January 29, 1969 - January 28, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/10/1985
AMEX Put and Call ExamSeries 1
Date: 1/27/1969
Registered Representative ExaminationSeries 12
Date: 7/8/1978
NYSE Branch Manager ExaminationSeries 40
Date: 4/8/1978
Registered Principal ExaminationCurrent Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
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.
