PP
Paul E. Pulte
INSIGHT SECURITIES
Highland Park, IL 60035
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CRD#: 5366902
PP
Professional summary
Paul Emmet Pulte is a registered financial professional currently at INSIGHT SECURITIES, INC. located in Highland Park, Illinois.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2016. Paul has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Paul Emmet Pulte's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 7, 2020 - Present
INSIGHT SECURITIES, INC.
Office #1: 600 Central Ave Suite 293, Highland Park, IL 60035RIA
BD
CRD#: 5611
Highland Park, IL
Past
May 24, 2016 - February 25, 2020
INSIGHT SECURITIES, INC.
BD
CRD#: 5611
Highland Park, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/7/2020)
RR
Florida(5/7/2020)
RR
Illinois(5/7/2020)
RR
Massachusetts(5/7/2020)
RR
New York(5/7/2020)
RR
South Dakota(5/7/2020)
RR
Texas(5/7/2020)
RR
Wyoming(5/7/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 3/21/2019
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
600 Central Ave Suite 293, Highland Park, IL 60035
Mailing Address
600 Central Ave Suite 293, Highland Park, IL 60035
Phone number
(224) 632-4700
Established
Delaware since 11/12/1970
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
25
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 94,216,934 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 5 |
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.
