Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Westphal is an active investment advisor representative with RBC Capital Markets, LLC. Paul is a highly experienced advisor having been in the industry for over 35 years. Paul's experience includes positions at Robert W. Baird & Co. Incorporated, UBS Financial Services Inc., Piper Jaffray & Co., Salomon Smith Barney Inc., and Lehman Brothers Inc. Paul holds the Series 63, Series 65, Series 7, Series 8, Series 9, Series 10, and SIE licenses. Paul is registered in 26 states and works out of the Mequon, WI branch of RBC Capital Markets, LLC. Paul specializes in helping individuals, families, businesses, and institutions meet their investment needs.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
WI
09/27/2018 - Present
RBC Capital Markets, LLC (MEQUON WI)
WI
05/28/2010 - 09/28/2018
ROBERT W. BAIRD & CO. INCORPORATED (MEQUON WI)
WI
08/12/2006 - 06/10/2010
UBS FINANCIAL SERVICES INC. (MILWAUKEE WI)
WI
10/01/1998 - 08/12/2006
PIPER JAFFRAY & CO. (MILWAUKEE WI)
NY
07/31/1993 - 10/09/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/09/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/19/1988 - 10/27/1988
PAVEK INVESTMENTS INC.
IA
Issued 05/07/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/28/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 07/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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