Paul M. Fowler
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 Michael Fowler was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2007. Paul had worked at 4 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2015 - December 22, 2017
PARADIGM CAPITAL U.S. INC.
February 2, 2015 - October 28, 2015
NATIONAL BANK OF CANADA FINANCIAL INC.
July 15, 2011 - February 2, 2015
NBF SECURITIES (USA) CORP.
March 8, 2007 - July 18, 2011
WELLINGTON WEST CAPITAL MARKETS (USA) 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 37
Date: 2/12/2007
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
PARADIGM CAPITAL U.S. INC.
CRD#: 104425 / SEC#: , 8-52885
Contact information
FINRA licenses (23 States and Territories)
Documents
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.
