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PAUL EUGENE SOUTHARD
PAUL E SOUTHARD
CRD#: 1291554
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 96 EAST MAIN STREET
EAST ISLIP, NY 11730
EAST ISLIP, NY 11730
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5/8/2024
Customer Dispute
Denied
3/16/2004
Customer Dispute
Denied
State Registrations
B
Connecticut 3/2/1999
B
New Jersey 1/16/1998
IA
Connecticut 1/10/2013
IA
New Jersey 7/2/2002
B
Florida 10/13/1995
B
New York 11/13/1986
IA
Florida 1/14/2013
IA
New York 4/12/2021
B
Georgia 2/17/2022
B
North Carolina 7/14/2003
IA
Georgia 2/24/2022
IA
North Carolina 7/20/2021
B
Kentucky 6/27/2020
B
Pennsylvania 3/31/1998
IA
Kentucky 7/8/2020
IA
Pennsylvania 1/10/2013
B
Maryland 4/21/1998
B
Rhode Island 5/14/2003
B
Nevada 7/26/2006
B
Virginia 8/26/2003
IA
Nevada 9/18/2024
IA
Virginia 2/17/2022
SRO Registrations
B
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IA
Registered with this firm since 7/2/2002
B
Registered with this firm since 9/18/1984
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/18/1984 - 01/05/2000 | NEW YORK, NY | |
B | 05/05/1989 - 06/23/1992 | NEW YORK, NY | |
B | 05/05/1989 - 10/15/1990 | NEW YORK, NY |
NEW YORK, NY
09/18/1984 - 01/05/2000
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.