William M. Bahr
Professional summary
William Milton Bahr was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, William had worked at 8 firms, which includes PAULSON INVESTMENT COMPANY LLC, WELLS FARGO CLEARING SERVICES LLC, CIBC WORLD MARKETS CORP., ADVEST INC., BLUNT ELLIS & LOEWI INCORPORATED, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, DREXEL BURNHAM LAMBERT INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2002 - November 7, 2002
PAULSON INVESTMENT COMPANY LLC
February 11, 1998 - April 1, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 10, 1994 - February 25, 1998
CIBC WORLD MARKETS CORP.
September 28, 1993 - June 17, 1994
ADVEST, INC.
September 4, 1990 - October 11, 1993
WELLS FARGO CLEARING SERVICES, LLC
September 8, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
April 11, 1988 - October 4, 1989
LEHMAN BROTHERS INC.
January 16, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
November 27, 1978 - January 9, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
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 15
Date: 2/11/1985
Foreign Currency Options ExaminationSeries 5
Date: 7/13/1984
Interest Rate Options ExaminationCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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