Paul E. Hess
Professional summary
Paul Eastman Hess was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Paul had worked at 6 firms, which includes BRAINTREE HILL CAPITAL MANAGEMENT LLC, HESS FINANCIAL, COMMONWEALTH FINANCIAL NETWORK, GROVE POINT INVESTMENTS LLC, CINCINNATI ANALYSTS INC., NEW ENGLAND SECURITIES.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2009 - July 1, 2009
BRAINTREE HILL CAPITAL MANAGEMENT, LLC
May 18, 2005 - March 21, 2006
HESS FINANCIAL
February 23, 2001 - December 31, 2010
COMMONWEALTH FINANCIAL NETWORK
August 19, 1991 - December 31, 2010
COMMONWEALTH FINANCIAL NETWORK
May 22, 1991 - August 21, 1991
GROVE POINT INVESTMENTS, LLC
January 1, 1990 - January 14, 1991
CINCINNATI ANALYSTS, INC.
October 29, 1986 - October 4, 1989
COMMONWEALTH FINANCIAL NETWORK
August 3, 1981 - June 26, 1986
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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