Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul John Pallo is a financial advisor with RBC Capital Markets, LLC. Paul has over 39 years of experience in the financial services industry. Paul has Series 7, 24, 52, 53, and 63 licenses, in addition to his Series 65. Paul is registered with the following states: Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Idaho, Maryland, Massachusetts, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, and Virginia. Paul provides financial planning, portfolio management and other advisory services to individuals, families, businesses, and institutions. Paul also assists with pension consulting and public and private employee benefit plans.
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
NJ
01/04/2018 - Present
RBC Capital Markets, LLC (FLORHAM PARK NJ)
NJ
07/14/2008 - 11/17/2014
OPPENHEIMER & CO. INC. (FLORHAM PARK NJ)
NJ
04/24/2007 - 07/14/2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ROSELAND NJ)
NJ
07/07/2006 - 04/24/2007
RYAN BECK & CO. (ROSELAND NJ)
NJ
01/07/2004 - 07/11/2006
PNC INVESTMENTS (RIDGEWOOD NJ)
KY
06/14/2002 - 01/07/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
NJ
03/22/1983 - 06/19/2002
STATEN SECURITIES CORPORATION (RIDGEWOOD NJ)
NA
05/10/1984 - 06/24/1999
STATEN SECURITIES CORPORATION
BC
Issued 12/13/2004
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/29/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1986
Series 24 - General Securities Principal Examination
BC
Issued 02/04/1985
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/09/1984
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1983
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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