Paul E. Brandwein

CAIS CAPITAL LLC

NEW YORK, NY 10022

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CRD#: 6545738

Professional summary

Paul Edward Brandwein, who also goes by Paul Brandwein, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2015. Paul has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Brandwein

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.

OTHER BUSINESS NAME:MIDWEST BUILDING INC. LOCATION: 584 EAST CRYSTAL LAKE AVE CRYSTAL LAKE, IL 60014. NATURE OF BUSINESS: CARPENTRY BUSINESS. POSITION OR TITLE: VICE PRESIDENT. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS):1 TOTAL/0 DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Edward Brandwein's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 21, 2025 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022

CRD#: 154512

NEW YORK, NY

Past

October 5, 2018 - July 30, 2025

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

September 24, 2018 - July 30, 2025

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

October 24, 2017 - August 24, 2018

FINANCE OF AMERICA SECURITIES LLC

CRD#: 284464

St. Charles, IL

Past

September 9, 2015 - March 16, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ELGIN, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(10/21/2025)

New York
(10/21/2025)

Texas
(10/21/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/9/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Mailing Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Phone number

(212) 300-9350

Established

Delaware since 07/27/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CAPITAL INTEGRATION SYSTEMS LLC	PARENT/OWNER
BROWN, MATTHEW CRAWFORD	CEO/MEMBER/EXECUTIVE REP.	2160159
COLLINS, MICHAEL PATRICK	CCO	5366193
KRZAK, ALEXANDER JACOB	POO	6349160
PARISE, JANICE DRU	FINOP/PFO	2338583
PREMSELAAR, MARC KLEIN	SENIOR MANAGING DIRECTOR	5395973
SHANNON, TIMOTHY BRIAN	PRESIDENT	4461906
WALKER, BRADLEY JAY	SENIOR MANAGING DIRECTOR	5000838

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.

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Advisor Monitoring

Firm Stability Insights

Paul E. Brandwein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Edward Brandwein's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

FINANCE OF AMERICA SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2018

Series 63

Date: 10/9/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2017

Series 6

Date: 9/9/2015

FINRA

Current Firm

CAIS CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAIS CAPITAL LLC

TRUST BUT VERIFY

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