Paul Louis Collein
Professional Summary
Paul Louis Collein was a registered financial advisor. Paul was a previously registered financial professional and started their career in finance 1972 - 2014. Paul had worked at 9 firms and has passed the Series 55, PC, Series 000 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
PUMA CAPITAL, LLC
Contact Information
Main Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580Mailing Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580Phone Number
(212) 269-4100Established
Florida since 02/09/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2000PC — AMEX Put and Call Exam
Passed Jun 1977Series 000 — General Securities Principal Examination
Passed Jul 1972Series 1 — Registered Representative Examination
Passed Jul 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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