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Detailed Report
PAUL LEONARD FREY
PAUL FREY
CRD#: 2618343
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Investment Adviser
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Previous Broker
CONFLUENCE FINANCIAL PARTNERSCRD#: 311980 732 E MCMURRAY RD
MCMURRAY, PA 15317
Registration History
19952000200520102015202020252 FIRMS2011 - 2024 (12 years)IACONFLUENCE FINANCIAL PARTNERS (CRD# 311980)2024 - Present (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2011 (3 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1995 - 2008 (12 years)
Disclosure(s)
View By:
8/1/2002
Customer Dispute
Settled
6/18/2001
Customer Dispute
Denied
License(s)

State Registrations

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Pennsylvania 3/19/2024
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Texas 3/15/2024
Current Registration(s)
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CONFLUENCE FINANCIAL PARTNERS (CRD#:311980)
732 E MCMURRAY RD, MCMURRAY, PA 15317
Registered with this firm since 3/15/2024
Previous Registration(s)
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 06/16/2011 - 04/04/2024 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) PITTSBURGH, PA
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 06/09/2011 - 04/04/2024 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) PITTSBURGH, PA
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 01/01/2008 - 06/10/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) PITTSBURGH, PA
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 06/26/1995 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) GREEN TREE, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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
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.