Paul Wiley
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 Wiley JR, who also goes by Paul Wiley, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1973. Paul had worked at 20 firms and has passed the Series 63, Series 1, Series 14, Series 8, Series 24, Series 27 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
September 24, 1996 - September 29, 2000
ROYAL HUTTON SECURITIES CORP.
October 26, 1995 - May 1, 1996
WINDSOR REYNOLDS SECURITIES, INC.
February 13, 1995 - March 4, 1996
THE THORNWATER COMPANY, L.P.
December 6, 1993 - June 23, 1997
PRIME EXECUTIONS, INC.
January 30, 1992 - February 22, 1995
LEGEND MERCHANT GROUP, INC.
September 5, 1991 - November 25, 1991
MANOR SECURITIES CORPORATION
September 5, 1991 - January 27, 1997
ASH FINANCIAL CORP.
December 18, 1989 - May 16, 1990
GRENEL & CO., LLC
June 19, 1989 - August 21, 1991
WELLMONT SECURITIES, L.P.
October 24, 1988 - June 14, 1989
PRELUDE SECURITIES CORP.
February 4, 1988 - August 16, 1989
GRENEL & CO., LLC
September 29, 1986 - November 6, 1986
AMFCO SECURITIES, INC.
September 26, 1986 - April 3, 1987
WOOLCOTT & CO., INC.
June 27, 1986 - May 17, 1989
TRIMARK SECURITIES, INC.
March 18, 1986 - June 19, 1986
WHEELER MUNICIPALS CORPORATION
February 26, 1986 - September 8, 1986
UNIVERSAL SECURITIES OF AMERICA, INC.
May 24, 1979 - October 21, 1981
LOEB PARTNERS
May 15, 1979 - September 17, 1981
FIRST WALL STREET SETTLEMENT CORPORATION
October 20, 1977 - April 24, 1979
MULLER AND COMPANY, INC.
July 19, 1977 - November 6, 1977
STERLING, GRACE & CO., INCORPORATED
November 20, 1973 - February 24, 1974
TP ICAP GLOBAL MARKETS AMERICAS 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
Series 1
Date: 11/15/1973
Registered Representative ExaminationSeries 8
Date: 7/29/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 7/7/1977
Registered Principal ExaminationCurrent Firm
ROYAL HUTTON SECURITIES CORP.
CRD#: 14489 / SEC#: , 8-30742
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 9 |
| Bond | 1 |
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.
