Paul F. Baeri
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 Francis Baeri was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1973. Paul had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 8, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2013 - March 24, 2015
CANTOR FITZGERALD & CO.
May 8, 2013 - November 1, 2013
GLOBAL HUNTER SECURITIES, LLC
March 3, 2008 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
January 21, 2004 - March 4, 2008
BNY CAPITAL MARKETS INC.
October 17, 2002 - December 17, 2003
CANTOR FITZGERALD & CO.
August 18, 1997 - November 1, 2002
CRT CAPITAL GROUP LLC
August 1, 1991 - February 25, 1997
JPMSI
October 7, 1988 - July 31, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 1986 - February 27, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
October 18, 1978 - August 26, 1986
GOLDMAN SACHS & CO. LLC
October 28, 1977 - December 13, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 1, 1976 - September 22, 1977
L. F. ROTHSCHILD & CO. INCORPORATED
March 14, 1973 - September 21, 1973
NEUWIRTH SECURITIES, 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 8
Date: 3/1/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 3/8/1973
General Securities Principal ExaminationCurrent Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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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