Paul Caron
Chief Compliance and Anti-Money Laundering Officer, H&L Equities, LLC
Paul Caron ensures the firm maintains a supervisory system with policies and procedures reasonably designed to achieve compliance with applicable securities laws, regulations, and FINRA rules.
Before joining REIT Funding in 2022, he served as Deputy Chief Compliance Officer and Chief Compliance Officer for two broker-dealers within the Truist Financial Corp. network. He has served as Chief Compliance Officer since 2008 for broker-dealers, registered investment advisers, and insurance companies. He earned a BS in Business Administration from Husson University and holds Series 4, 7, 24, 27, 53, 63, 79, and 99 licenses.