Paul E. Schlosberg
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 Edward Schlosberg was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1976. Paul had worked at 7 firms and has passed the Series 65, Series 63, Series 55, Series 5, PC, Series 7, Series 53, Series 4 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
August 30, 2004 - February 14, 2005
INCA CAPITAL MANAGEMENT, LLC
February 27, 2004 - October 16, 2013
KINSELL, NEWCOMB & DE DIOS, INC
March 29, 1999 - February 20, 2004
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
January 13, 1994 - July 30, 2003
FIRST SOUTHWEST COMPANY, LLC
October 1, 1982 - January 21, 1994
J.P. MORGAN SECURITIES LLC
September 16, 1977 - October 13, 1982
PRUDENTIAL EQUITY GROUP, LLC
December 1, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
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 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 9/17/1982
Interest Rate Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamCurrent firm
No current employment
Red Flags
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