Paul L. White
Professional summary
Paul Leon White II was barred by both the FINRA and the SEC 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 5 firms, which includes BLUEROCK CAPITAL MARKETS LLC, HERITAGE FINANCIAL SYSTEMS LLC, ALTERNATIVE WEALTH STRATEGIES INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., EQUITY SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - July 16, 2010
BLUEROCK CAPITAL MARKETS LLC
May 24, 2010 - July 2, 2010
BLUEROCK CAPITAL MARKETS LLC
October 7, 2009 - May 5, 2010
HERITAGE FINANCIAL SYSTEMS, LLC
June 8, 2005 - September 11, 2009
ALTERNATIVE WEALTH STRATEGIES, INC.
March 18, 2004 - May 12, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 2, 2003 - November 14, 2003
EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BLUEROCK CAPITAL MARKETS LLC
CRD#: 136974 / SEC#: , 8-67058
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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