Paul L. Collein
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 Louis Collein was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1972. Paul had worked at 9 firms and has passed the Series 55, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2013 - April 1, 2014
PUMA CAPITAL, LLC
January 26, 2010 - November 16, 2011
WHITAKER SECURITIES LLC
January 15, 2008 - January 22, 2010
RAFFERTY CAPITAL MARKETS, LLC
June 1, 2005 - February 6, 2008
SEABOARD SECURITIES, INC.
August 1, 2002 - April 4, 2005
NEWEDGE USA, LLC
October 19, 1995 - August 1, 2002
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 30, 1991 - October 16, 1995
CEDAR STREET SECURITIES CORP.
January 24, 1983 - April 30, 1991
MABON, NUGENT & CO.
July 17, 1972 - January 20, 1983
PURCELL GRAHAM INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 2/1/2000
Limited Representative-Equity Trader ExamPC
Date: 6/9/1977
AMEX Put and Call ExamSeries 000
Date: 7/24/1972
General Securities Principal ExaminationSeries 1
Date: 7/13/1972
Registered Representative ExaminationCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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