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Detailed Report
PAUL John AUBIN
PAUL JOHN AUBIN, PAUL AUBIN
CRD#: 2815422
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 13454 Sunrise Valley Dr Suite 220
Herndon, VA 20171-3278
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2007 (2 years)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2018 (10 years)2 FIRMS2018 - 2022 (3 years)2 FIRMS2022 - Present (2 years)BSUNTRUST SECURITIES, INC. (CRD# 17499)2000 - 2005 (4 years)BCRESTAR SECURITIES CORPORATION (CRD# 17464)1996 - 2000 (3 years)IASUNTRUST SECURITIES, INC. (CRD# 17499)2002 - 2005 (2 years)
Disclosure(s)
View By:
5/28/2008
Customer Dispute
Settled
5/22/2006
Customer Dispute
Settled
4/18/2003
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 5/18/2022
B
New Jersey 5/18/2022
B
California 5/18/2022
B
New York 5/18/2022
B
Colorado 5/18/2022
B
North Carolina 5/18/2022
B
Connecticut 5/18/2022
B
Oregon 9/8/2022
B
Delaware 6/2/2022
B
Pennsylvania 5/18/2022
B
District of Columbia 5/18/2022
B
South Carolina 7/6/2022
B
Florida 5/18/2022
B
Texas 5/18/2022
B
Georgia 5/18/2022
IA
Texas 5/18/2022
B
Illinois 9/6/2022
B
Virginia 5/18/2022
B
Maryland 5/18/2022
IA
Virginia 5/18/2022
B
Massachusetts 5/19/2022
B
Washington 5/18/2022
B
Michigan 5/18/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
13454 Sunrise Valley Dr Suite 220, Herndon, VA 20171-3278
13454 SUNRISE VALLEY DR 220, HERNDON, VA 20171
Registered with this firm since 5/18/2022
B
LPL FINANCIAL LLC (CRD#:6413)
13454 Sunrise Valley Dr Suite 220, Herndon, VA 20171-3278
13454 SUNRISE VALLEY DR 220, HERNDON, VA 20171
Registered with this firm since 5/18/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/22/2018 - 05/25/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) HERNDON, VA
B
 06/22/2018 - 05/25/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) HERNDON, VA
IA
 02/19/2008 - 06/22/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LEESBURG, VA
B
 02/19/2008 - 06/22/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LEESBURG, VA
IA
 04/02/2007 - 02/25/2008 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) RESTON, VA
B
 04/02/2007 - 02/25/2008 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) RESTON, VA
IA
 01/31/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) RESTON, VA
B
 01/31/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) RESTON, VA
IA
 12/19/2002 - 02/25/2005 SUNTRUST SECURITIES, INC. (CRD#:17499) VIENNA, VA
B
 05/26/2000 - 02/25/2005 SUNTRUST SECURITIES, INC. (CRD#:17499) ATLANTA, GA
B
 11/05/1996 - 05/26/2000 CRESTAR SECURITIES CORPORATION (CRD#:17464) RICHMOND, VA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.