Joshua E. Paulson
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.
Joshua Edward Paulson was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2003. Joshua had worked at 5 firms and has passed the Series 63, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2007 - April 2, 2012
UPHOLD SECURITIES INC.
March 2, 2007 - April 5, 2007
LABRANCHE FINANCIAL SERVICES, LLC
February 2, 2007 - March 30, 2007
PARALLAX DIRECT EXECUTION, INC.
August 15, 2006 - January 19, 2007
GOETZ, BATCHKER & COMPANY, INC.
May 9, 2006 - January 31, 2007
FISHMAN & LEDER, INC.
September 15, 2003 - April 28, 2006
UPHOLD SECURITIES INC.
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 25
Date: 10/5/2006
NYSE Trading Assistant ExaminationCurrent Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
