Individual Firm
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PAUL A DOWD
PAUL ANDREW DOWD
CRD#: 4494128
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 2626 GLENWOOD AVENUE
SUITE 450
RALEIGH, NC 27608
SUITE 450
RALEIGH, NC 27608
View By:
4/25/2012
Customer Dispute
Closed-No Action
State Registrations
B
Florida 3/18/2021
IA
Massachusetts 11/29/2024
IA
Florida 3/19/2021
B
North Carolina 2/26/2021
B
Georgia 3/18/2021
IA
North Carolina 2/26/2021
IA
Georgia 3/19/2021
B
Tennessee 5/13/2024
B
Massachusetts 8/23/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/26/2021
B
Registered with this firm since 2/26/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/27/2015 - 03/02/2021 | Cary, NC | |
B | 12/08/2014 - 03/02/2021 | CARY, NC | |
IA | 07/10/2013 - 11/20/2014 | Raleigh, NC | |
B | 06/28/2013 - 11/20/2014 | Raleigh, NC | |
IA | 12/18/2012 - 06/20/2013 | WALTHAM, MA | |
IA | 02/09/2012 - 12/06/2012 | DURHAM, NC | |
B | 06/06/2011 - 12/06/2012 | DURHAM, NC | |
B | 03/02/2007 - 06/09/2011 | BOSTON, MA | |
B | 05/20/2004 - 01/24/2007 | MANCHESTER, MA | |
B | 03/05/2002 - 05/21/2004 | BOSTON, MA |
For additional information about investment advisers or broker-dealers, please visit
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.