Paul S. Somers
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 Stuart Somers, who also goes by Paul Stuart Somers, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2011. Paul had worked at 1 firm and has passed the Series 63 and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2011 - July 23, 2013
PANMURE LIBERUM 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 17
Date: 3/24/2011
Limited Registered Representative ExaminationCurrent Firm
PANMURE LIBERUM INC
CRD#: 148135 / SEC#: , 8-67976
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PANMURE LIBERUM CAPITAL LIMITED | SOLE OWNER | |
| PLANT, JULIAN HUGH BENEDICT | CHIEF EXECUTIVE OFFICER | 1848356 |
| RICCI, RICHARD THOMAS | DIRECTOR | 2575976 |
| VIGLIAROLO, JOSEPH CHARLES | FINOP, CFO, PFO, TREASURER | 4880434 |
| WAGNER, ALAN PHILIP | PRINCIPAL OPERATIONS OFFICER | 3095126 |
| WAGNER, ALAN PHILIP | RESEARCH PRINCIPAL | 3095126 |
| WAGNER, ALAN PHILIP | OPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER | 3095126 |
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.
