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Detailed Report
PAUL EDWARD SHELDON
CRD#: 809160
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 10 Wright St
Fl 1st
Westport, CT 06880-3115
Registration History
197519801985199019952000200520102015202020252 FIRMS2003 - 2017 (14 years)2 FIRMS2017 - Present (7 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1977 - 2003 (25 years)BBACHE HALSEY STUART INC. (CRD# 7238)1976 - 1977 (1 year)BBACHE & CO INCORPORATED (CRD# 7058)1976 - 1976 (<1 year)BBACHE & CO., INCORPORATED (CRD# 66)1975 - 1976 (<1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)
License(s)

State Registrations

B
Arizona 8/11/2017
B
New Jersey 8/11/2017
B
California 8/11/2017
B
New York 8/11/2017
B
Connecticut 8/11/2017
B
North Carolina 1/19/2023
IA
Connecticut 8/11/2017
B
Ohio 4/29/2021
B
Delaware 10/21/2021
B
Pennsylvania 8/11/2017
B
Florida 8/11/2017
B
Puerto Rico 8/11/2017
B
Georgia 8/3/2022
B
Rhode Island 8/11/2017
B
Illinois 8/11/2017
B
South Carolina 1/9/2023
B
Indiana 6/28/2021
B
Texas 8/11/2017
B
Maryland 3/3/2021
IA
Texas 8/11/2017
B
Massachusetts 8/11/2017
B
Utah 8/11/2017
B
Michigan 6/18/2021
B
Vermont 8/11/2017
B
Nevada 8/11/2017
B
Virginia 8/11/2017

SRO Registrations

B
 FINRA

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
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
10 Wright St Fl 1st, Westport, CT 06880-3115
Norwalk, CT
Registered with this firm since 8/11/2017
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
10 Wright St Fl 1st, Westport, CT 06880-3115
Norwalk, CT
Registered with this firm since 8/11/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/01/2003 - 08/14/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WESTPORT, CT
B
 07/01/2003 - 08/14/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WESTPORT, CT
IA
 02/24/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) WESTPORT, CT
B
 09/16/1977 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 08/29/1976 - 09/16/1977 BACHE HALSEY STUART INC. (CRD#:7238)
B
 02/27/1976 - 08/27/1976 BACHE & CO INCORPORATED (CRD#:7058)
B
 06/25/1975 - 02/27/1976 BACHE & CO., INCORPORATED (CRD#:66)
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.