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Detailed Report
ANTHONY JAMES PAULING
TONY PAULING
CRD#: 6107324
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 301 NORTH LAKE
SUITE 800
PASADENA, CA 91101
Registration History
201220142016201820202022202420263 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - Present (11 years)BCROWELL, WEEDON & CO. (CRD# 193)2012 - 2013 (<1 year)
License(s)

State Registrations

B
California 11/25/2013
IA
California 11/25/2013

SRO Registrations

B
 FINRA
B
 Investors' Exchange LLC
B
 Nasdaq Stock Market

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
D.A. DAVIDSON & CO. (CRD#:199)
301 NORTH LAKE SUITE 800, PASADENA, CA 91101
Registered with this firm since 11/25/2013
B
D.A. DAVIDSON & CO. (CRD#:199)
301 NORTH LAKE SUITE 800, PASADENA, CA 91101
Registered with this firm since 11/25/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) LOS ANGELES, CA
B
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) LOS ANGELES, CA
IA
 04/18/2013 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) LOS ANGELES, CA
B
 12/11/2012 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) LOS ANGELES, CA
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.