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PAUL ANDREW CAYLOR
CRD#: 3005714
IA
B
KESTRA ADVISORY SERVICES, LLCCRD#: 283330 Huntsville, AL
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 Huntsville, AL
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9/18/2008
Customer Dispute
Denied
State Registrations
B
Alabama 9/12/2022
B
Colorado 8/19/2020
IA
Alabama 4/28/2023
B
Montana 8/19/2020
B
California 5/2/2022
B
Wisconsin 8/19/2020
SRO Registrations
B
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 8/19/2020
B
Registered with this firm since 8/19/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/22/2004 - 08/21/2020 | FORT COLLINS, CO | |
B | 09/08/1998 - 08/21/2020 | FORT COLLINS, CO | |
B | 03/11/1998 - 07/28/1998 | CHICAGO, IL |
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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.