Paul D. Yocum
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 Dean Yocum was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 1976. Paul had worked at 7 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2003 - December 31, 2003
DIVERSIFIED FINANCIAL CONSULTANTS, INC.
January 27, 1995 - October 8, 2001
WRP INVESTMENTS, INC.
January 30, 1990 - December 16, 1994
WARWICK SECURITIES, INC.
January 13, 1986 - January 2, 1990
CORNWALL SECURITIES, INC.
September 13, 1979 - October 24, 1985
MUTUAL SERVICE CORPORATION
January 20, 1978 - July 18, 1979
FIRST AFFILIATED SECURITIES, INC.
February 20, 1976 - February 28, 1977
WADDELL & REED
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: 2/16/1976
Registered Representative ExaminationCurrent firm
No current employment
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.
