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PAUL HARRIGAN II
PAUL HARRIGAN
CRD#: 6039178
IA
B
WHARTON MIDMARKET INVESTMENT ADVISORS INCCRD#: 301186 27 BROOK ROAD
WOODBRIDGE, CT 06525
WOODBRIDGE, CT 06525
WHARTON MIDMARKET SECURITIES INC.CRD#: 167531 WOODBRIDGE, CT
0
Disclosures
12
Years of Experience
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State Registrations
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Connecticut 1/2/2014
B
Florida 4/1/2014
IA
Connecticut 1/12/2021
SRO Registrations
B
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IA
Registered with this firm since 1/12/2021
B
Registered with this firm since 11/26/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/21/2019 - 12/31/2020 | WOODBRIDGE, CT | |
B | 10/10/2012 - 11/13/2013 | AUSTIN, TX | |
B | 03/19/2012 - 10/11/2012 | CALABASAS, CA |
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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.