Paul I. Bloom
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 Ira Bloom, who also goes by Paul I Bloom, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1992. Paul had worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 7TO, SIE, Series 7 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
February 28, 2019 - November 17, 2021
LIVINGSTON SECURITIES, LLC
January 9, 2009 - March 3, 2017
XNERGY FINANCIAL LLC
April 22, 2004 - January 16, 2007
ROTH CAPITAL PARTNERS, LLC
January 5, 1999 - May 10, 2000
ROTH CAPITAL PARTNERS, LLC
December 23, 1992 - November 19, 1998
VOLPE BROWN WHELAN & COMPANY, LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 10/18/2022
General Securities Representative ExaminationCurrent Firm
LIVINGSTON SECURITIES, LLC
CRD#: 147364 / SEC#: , 8-67901
Contact information
FINRA licenses (38 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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