Paul Kullback
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 Kullback was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1981. Paul had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2012 - October 16, 2025
LEIGH BALDWIN & CO., LLC
December 13, 2002 - March 29, 2012
OMNIVEST, INC.
May 29, 2002 - December 31, 2002
FISERV INVESTOR SERVICES, INC.
August 28, 2001 - January 13, 2003
TRADESTAR INVESTMENTS,INC.
September 30, 1994 - August 31, 2001
FISERV CORRESPONDENT SERVICES, INC.
August 3, 1993 - October 10, 1994
HANIFEN, IMHOFF INC.
July 21, 1993 - July 26, 1993
WEDBUSH SECURITIES INC.
November 28, 1984 - June 17, 1993
AMERIPRISE ADVISOR SERVICES, INC.
August 2, 1984 - November 7, 1984
GENERAL AMERICAN SECURITIES, INC.
July 7, 1983 - July 24, 1984
RICHEY, FRANKEL & COMPANY
December 10, 1982 - April 15, 1983
WADDELL & REED
April 20, 1982 - June 9, 1982
OTC NET INCORPORATED
March 23, 1981 - March 31, 1982
AMERICAN WESTERN SECURITIES, INC.
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
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 8
Date: 2/22/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 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.
