Paul A. Rinfret
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 Andrews Rinfret was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1975. Paul had worked at 15 firms and has passed the Series 63, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2004 - June 7, 2005
WHITAKER SECURITIES LLC
April 11, 2003 - July 19, 2004
UTENDAHL CAPITAL PARTNERS, L.P.
July 10, 2000 - April 16, 2001
UTENDAHL CAPITAL PARTNERS, L.P.
June 21, 1999 - June 8, 2000
SEABOARD SECURITIES, INC.
September 1, 1992 - October 25, 1995
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 14, 1992 - August 14, 1992
RINFRET SECURITIES, INC.
February 21, 1991 - June 21, 1991
BAIRD, PATRICK & CO., INC.
December 12, 1990 - January 17, 1991
LAIDLAW GLOBAL SECURITIES, INC.
July 31, 1990 - October 5, 1990
R.C. GOVERNMENT SECURITIES, INC.
November 25, 1988 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
March 13, 1984 - March 17, 1987
PRUDENTIAL EQUITY GROUP, LLC
November 10, 1981 - February 1, 1984
BECKER PARIBAS INCORPORATED
February 27, 1981 - September 9, 1981
SBC WARBURG DILLON READ INC.
November 22, 1977 - February 23, 1981
LEHMAN BROTHERS INC.
March 14, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
March 3, 1975 - February 14, 1977
J.P. MORGAN SECURITIES 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 1
Date: 2/20/1975
Registered Representative ExaminationCurrent Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
