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RICHARD WILLIAM PAUL
RICH PAUL, RICHARD WILLIAM PAUL MR.
CRD#: 1068741
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Investment Adviser
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Previous Broker
RICHARD W. PAUL & ASSOCIATES, LLCCRD#: 156812 39555 ORCHARD HILL PLACE
SUITE 100
NOVI, MI 48375
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2011 (1 year)IARICHARD W. PAUL & ASSOCIATES, LLC (CRD# 156812)2011 - Present (13 years)BQUESTAR CAPITAL CORPORATION (CRD# 43100)1999 - 2007 (7 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1999 - 1999 (<1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1995 - 1998 (3 years)BMARINER FINANCIAL SERVICES, INC. (CRD# 8292)1985 - 1995 (9 years)BNORTH AMERICAN MANAGEMENT, INC. (CRD# 624)1989 - 1993 (4 years)BMONARCH SECURITIES, INC. (CRD# 2809)1987 - 1988 (<1 year)BMONARCH SECURITIES, INC. (CRD# 2809)1986 - 1987 (1 year)BMUTUAL SERVICE CORPORATION (CRD# 4806)1984 - 1985 (1 year)BJOHN HANCOCK DISTRIBUTORS, INC. (CRD# 468)1982 - 1984 (1 year)
Disclosure(s)
View By:
8/5/2008
Customer Dispute
Closed-No Action
10/26/1994
Regulatory
Final
7/15/1993
Customer Dispute
Settled
License(s)

State Registrations

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Michigan 5/20/2011

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Texas 6/25/2020

Current Registration(s)
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RICHARD W. PAUL & ASSOCIATES, LLC (CRD#:156812)
39555 ORCHARD HILL PLACE SUITE 100, NOVI, MI 48375
Registered with this firm since 5/20/2011

Previous Registration(s)
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11/25/2009 - 04/28/2011 ALLEGIANT ASSET MANAGEMENT L.L.C. (CRD#:141047) NOVI, MI
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11/06/2009 - 04/28/2011 ALLEGIANT SECURITIES L.L.C. (CRD#:133912) MIAMI, FL
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10/17/2007 - 11/13/2009 AMERICAN PORTFOLIOS ADVISORS, INC (CRD#:112697) HOLBROOK, NY
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09/10/2007 - 11/12/2009 AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (CRD#:18487) NOVI, MI
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11/23/1999 - 09/06/2007 QUESTAR CAPITAL CORPORATION (CRD#:43100) NOVI, MI
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01/29/1999 - 11/19/1999 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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03/28/1995 - 12/15/1998 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
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06/25/1985 - 02/06/1995 MARINER FINANCIAL SERVICES, INC. (CRD#:8292) LARGO, FL
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02/24/1989 - 06/01/1993 NORTH AMERICAN MANAGEMENT, INC. (CRD#:624) SIOUX FALLS, SD
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10/28/1987 - 05/12/1988 MONARCH SECURITIES, INC. (CRD#:2809)
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01/04/1986 - 10/05/1987 MONARCH SECURITIES, INC. (CRD#:2809)
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06/18/1984 - 07/03/1985 MUTUAL SERVICE CORPORATION (CRD#:4806)
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11/30/1982 - 05/15/1984 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.