James G. 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.
James Gareth Stuart Paul was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2023. James had worked at 1 firm and has passed the Series 63 and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2023 - January 19, 2024
ALTI STRATEGIC ADVISORY (US) BD, LLC
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 7TO
Date: 3/9/2023
General Securities Representative ExaminationCurrent Firm
ALTI STRATEGIC ADVISORY (US) BD, LLC
CRD#: 304839 / SEC#: , 8-70387
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALTI ASSET MANAGEMENT HOLDINGS 2 LIMITED | SOLE MEMBER | |
| GROSSMAN, JAMIE IVAN | PRINCIPAL | 6454053 |
| LANGLEY, CHAD OMAR-JAI | CHIEF EXECUTIVE OFFICER | 5212889 |
| MERLINO, NICHOLAS JOSEPH | CHIEF COMPLIANCE OFFICER | 5730516 |
| SHAW, ANTHONY | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 7338445 |
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.
