Paul F. Stapleton
Professional summary
Paul Francis Stapleton is a registered financial professional currently at KA ASSOCIATES, LLC located in Los Angeles, California.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 1 firm and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Francis Stapleton's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 26, 2004 - Present
KA ASSOCIATES, LLC
Office #1: 2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067Office #2: 2121 Avenue Of The Stars Ninth Floor, Los Angeles, CA 90067State 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
KA ASSOCIATES, LLC
CRD#: 32029 / SEC#: , 8-45640
Contact information
FINRA licenses (35 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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