Paul A. Bingham
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 Anthony Bingham JR was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1978. Paul had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2008 - April 12, 2017
J.J.B. HILLIARD, W.L. LYONS, LLC
June 20, 2008 - April 12, 2017
J.J.B. HILLIARD, W.L. LYONS, LLC
January 1, 2008 - July 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 8, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 22, 1989 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 12, 1984 - October 16, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
January 24, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 3, 1983 - November 16, 1984
LEHMAN BROTHERS INC.
September 26, 1978 - January 11, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 2/1/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
Red Flags
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