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Joseph Nicholas Paul

Rockefeller Financial LLC

Salt Lake City, UT

New York, NY

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-03-23
UT RA APPROVED 2019-05-31
  • TX RA
    APPROVED_RES
    Since 2023-03-23
  • UT RA
    APPROVED
    Since 2019-05-31

Branch Locations

2603 East Parleys Way, Salt Lake City, UT 84109 • United States

45 Rockefeller Plaza, New York, NY 10111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hightower Securities, Llc Salt Lake City UT 05/2013 09/2018
Axiom Capital Management Inc. New York NY 09/2018 10/2019
Rockefeller Financial Llc Salt Lake City UT 10/2019 Present
  • 05/2013 → 09/2018
    Hightower Securities, Llc
    Salt Lake City, UT
  • 09/2018 → 10/2019
    Axiom Capital Management Inc.
    New York, NY
  • 10/2019 → Present
    Rockefeller Financial Llc
    Salt Lake City, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-20
  • S66 Uniform Combined State Law Examination
    2017-11-20
Other Names
  • Joe Paul
  • Paul Nicholas Joseph

View on SEC IAPD

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