Paul M. Chikes
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 M Chikes, who also goes by Paul M Chikes, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2006. Paul had worked at 5 firms and has passed the Series 63, Series 3 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 21, 2012 - September 8, 2014
TWO SIGMA SECURITIES, LLC
May 25, 2011 - May 15, 2012
BMO CAPITAL MARKETS CORP.
February 29, 2008 - June 10, 2011
RBC CAPITAL MARKETS, LLC
October 2, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
November 7, 2006 - July 24, 2007
WELLS FARGO CLEARING SERVICES, 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
Current Firm
TWO SIGMA SECURITIES, LLC
CRD#: 148960 / SEC#: , 8-68090
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
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.
