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PD

Paul S. Dolan

Some features on this profile are disabled
CRD#: 823892
PD

Professional summary

Paul Stephen Dolan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Paul had worked at 10 firms, which includes NATHAN & LEWIS SECURITIES INC., MOORS & CABOT INC., GRUNTAL & CO. L.L.C., MOSELEY SECURITIES CORPORATION, LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., REYNOLDS SECURITIES INC., DEAN WITTER & CO. INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Steaven Dolan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 16, 1994 - November 18, 1996

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

January 9, 1991 - February 9, 1994

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

June 14, 1988 - January 1, 1991

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

September 4, 1984 - March 16, 1988

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

October 13, 1981 - September 12, 1984

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

November 27, 1978 - October 26, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

March 23, 1978 - December 6, 1978

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

February 28, 1978 - May 15, 1978

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

February 15, 1977 - February 28, 1978

REYNOLDS SECURITIES, INC.

BD
CRD#: 712
Past

June 25, 1976 - March 19, 1977

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 10/1/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 6/19/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 12
Date: 6/19/1982
NYSE Branch Manager Examination

Current Firm

N&
NATHAN & LEWIS SECURITIES, INC.
NATHAN & LEWIS SECURITIES, INC. | NATHAN, LEWIS & GRANT, INC.

CRD#: 8503 / SEC#: , 8-25463

BD
Terminated by SEC on 10/12/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/30/1980
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NL HOLDING CORP. (DEL)STOCK HOLDING CO.
AQUINO, VIRGELAN ERNESTOVICE PRESIDENT2976229
BERENGER, RICHARD WALTERCOMPLIANCE OFFICER1041622
MARTZ, ROBERT NICHOLASVICE PRESIDENT1901431
PETERSEN, ROBERT HENRYVICE PRESIDENT & CHIEF FINANCIAL OFFICER361234

Disclosures

Regulatory Event2
Arbitration1
Bond1

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.

Company Information

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

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