Paul H. Baastad
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 Hjorth Baastad was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1974. Paul had worked at 4 firms and has passed the Series 16, Series 1 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 2, 2011 - December 31, 2015
EMBARCADERO CAPITAL MANAGEMENT LLC
September 2, 2008 - December 31, 2010
EMBARCADERO CAPITAL MANAGEMENT LLC
October 19, 1992 - November 3, 1997
CHARLES SCHWAB & CO., INC.
March 9, 1990 - June 26, 1990
CHARLES SCHWAB & CO., INC.
December 3, 1984 - June 8, 1988
S.G. WARBURG & CO. INC.
February 1, 1974 - December 10, 1984
ROWE & PITMAN, INC.
State Registrations and Notice Filings
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Exams
Series 1
Date: 1/24/1974
Registered Representative ExaminationCurrent Firm
EMBARCADERO CAPITAL MANAGEMENT LLC
CRD#: 114043 / SEC#:
Contact information
Red Flags
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