Paul H. Cook
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 Harold Cook was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1975. Paul had worked at 8 firms and has passed the Series 66, Series 63 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
June 23, 2011 - September 12, 2013
J.P. TURNER & COMPANY, L.L.C.
April 11, 2005 - June 24, 2011
THE O.N. EQUITY SALES COMPANY
April 26, 2002 - January 23, 2004
SIGNATOR INVESTORS, INC.
October 1, 1997 - April 10, 2002
OSAIC FS, INC.
January 13, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
June 19, 1983 - June 15, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
November 1, 1978 - December 29, 1995
NEW ENGLAND SECURITIES
October 7, 1975 - March 3, 1977
METROPOLITAN LIFE INSURANCE COMPANY
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: 10/3/1975
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
