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PAUL DULOCK
PAUL K DULOCK, PAUL KEMPER DULOCK
CRD#: 2857870
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CWM Retail, Sales
453 East Putnam Avenue
Cos Cob, CT 06807
Registration History
199820002002200420062008201020122014201620182020202220242 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - Present (11 years)BRBC CAPITAL MARKETS CORPORATION (CRD# 31194)2008 - 2009 (1 year)BRBC CAPITAL MARKETS ARBITRAGE,... (CRD# 121263)2002 - 2009 (6 years)BRBC CAPITAL MARKETS CORPORATION (CRD# 6579)1998 - 2008 (9 years)BSMITH BARNEY INC. (CRD# 7059)1997 - 1998 (<1 year)
License(s)

State Registrations

B
Arizona 6/11/2015

B
Nevada 9/24/2021

B
Arkansas 11/17/2014

B
New Hampshire 11/3/2014

B
California 4/19/2013

B
New Jersey 4/22/2013

B
Colorado 11/17/2014

B
New Mexico 9/14/2021

IA
Connecticut 4/19/2013

B
New York 4/22/2013

B
Connecticut 4/22/2013

IA
New York 8/17/2021

B
Delaware 8/21/2017

B
North Carolina 11/13/2014

B
District of Columbia 3/2/2015

B
North Dakota 1/6/2017

B
Florida 4/22/2013

B
Ohio 7/20/2021

B
Georgia 4/19/2013

B
Oklahoma 9/20/2021

B
Hawaii 9/21/2021

B
Oregon 10/8/2020

B
Idaho 10/22/2021

B
Pennsylvania 4/22/2013

B
Illinois 9/6/2013

B
Puerto Rico 8/24/2020

B
Indiana 11/24/2014

B
Rhode Island 11/13/2014

B
Kansas 11/7/2014

B
South Carolina 11/17/2014

B
Kentucky 8/22/2017

B
South Dakota 10/16/2020

B
Maine 10/6/2020

B
Tennessee 11/14/2014

B
Maryland 11/17/2014

B
Texas 7/11/2013

B
Massachusetts 4/22/2013

B
Utah 10/6/2020

B
Michigan 11/17/2014

B
Vermont 9/22/2021

B
Minnesota 11/13/2014

B
Virginia 11/13/2014

B
Mississippi 8/31/2017

B
Washington 9/20/2021

B
Missouri 2/28/2020

B
Wisconsin 5/3/2021

B
Montana 9/23/2024

B
Wyoming 10/5/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 453 East Putnam Avenue, Cos Cob, CT 06807
New Rochelle, NY
Registered with this firm since 4/19/2013

B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 453 East Putnam Avenue, Cos Cob, CT 06807
New Rochelle, NY
Registered with this firm since 4/19/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/05/2012 - 04/19/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WHITE PLAINS, NY
B
11/07/2012 - 04/19/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WHITE PLAINS, NY
B
02/29/2008 - 08/14/2009 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) NEW YORK, NY
B
12/17/2002 - 08/14/2009 RBC CAPITAL MARKETS ARBITRAGE, S.A. (CRD#:121263) NEW YORK, NY
B
07/16/1998 - 02/29/2008 RBC CAPITAL MARKETS CORPORATION (CRD#:6579) NEW YORK, NY
B
11/07/1997 - 06/30/1998 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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B
Broker
IA
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.