Richard J. Paul
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.
Richard Joseph Paul was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 57, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2015 - August 22, 2016
WINDSOR STREET CAPITAL, LP
June 26, 2014 - December 15, 2014
RAYMOND JAMES & ASSOCIATES, INC.
May 13, 2014 - December 15, 2014
RAYMOND JAMES & ASSOCIATES, INC.
June 13, 2011 - September 2, 2011
KERN, SUSLOW SECURITIES, INC.
February 5, 2010 - January 10, 2011
MERRIMAN CAPITAL, INC.
January 16, 2009 - September 3, 2009
BAY CREST PARTNERS, LLC
August 10, 2007 - November 12, 2008
CANACCORD GENUITY SECURITIES LLC
November 14, 2006 - August 10, 2007
COLLINS STEWART INC.
January 8, 2005 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
April 9, 2002 - January 21, 2005
BURLINGTON CAPITAL MARKETS INC.
October 9, 2001 - November 21, 2001
CITIGROUP GLOBAL MARKETS INC.
August 30, 1989 - September 26, 2001
CITIGROUP GLOBAL MARKETS INC.
May 18, 1981 - August 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 9/3/2002
Limited Representative-Equity Trader ExamCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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