Paulson Investment Company, LLC is a long-established U.S.-registered broker-dealer and boutique investment banking firm that provides brokerage execution, underwriting, and capital markets services. The company is registered with the U.S. Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). As a regulated broker-dealer, Paulson participates in the network of stock exchange brokers that facilitate trading and capital markets activity in the US stock market. The firm acts as a managing underwriter, placement agent, and broker for public and private securities offerings and works with clearing brokers to execute customers’ orders — a model that aligns it with systems used by NASDAQ stock brokers.
What Services Does Paulson Investment Company, LLC Offer?
Paulson Investment Company offers a suite of brokerage and investment banking services tailored to issuers, institutional clients, and professional investors.
| Service Category | What Paulson Investment Company, LLC Offers |
| Brokerage Execution | Execution of customer orders and market-making for marketable securities |
| Underwriting & Placement | Managing underwriter and placement agent for public and private offerings |
| Investment Banking | Equity capital markets advisory and corporate finance support |
| Private Equity Offerings | Structured private investment in public equity (PIPEs) and related offerings |
| Clearing Relationships | Fully-disclosed clearing with Vision Financial Markets and Axos Clearing |
These services support clients’ strategic financing and execution objectives within regulated U.S. markets.
Who Is Paulson Investment Company, LLC For?
Paulson Investment Company serves a range of professional and institutional market participants:
- Issuers seeking underwriters and placement agents for offerings
- Institutional investors accessing executed trades and structured equity products
- Professional intermediaries collaborating with stock exchange brokers
- Clients accessing markets where NASDAQ stock brokers and other major participants execute equity trades
The firm’s focus is on investment banking and institutional brokerage rather than retail-only transactional accounts.
Which Markets and Exchanges Can You Trade Through Paulson Investment Company, LLC?
As a registered broker-dealer, Paulson participates in trading and capital markets activity connected to key U.S. exchange venues.
Market Access
- Execution of marketable securities in U.S. trading venues that are part of the US stock market
- Structured equity offerings that may be tradable on Nasdaq and other exchanges associated with NASDAQ stock brokers
Regulatory Memberships
- SEC registered broker-dealer
- FINRA member
- Nasdaq Stock Market approval – approved membership since May 3, 2018
- SIPC member
These registrations make Paulson Investment Company a compliant broker-dealer participating in U.S. equity markets with coverage by national regulators.
How Paulson Investment Company, LLC Helps You Trade & Invest
- Establish an account or engagement with the firm for brokerage or investment banking services
- Consult Paulson’s team on execution, underwriting, or placement needs
- Submit orders or offering materials for review and execution
- Trades and placements are routed through clearing brokers and exchange systems
- Receive confirmations, reporting, and advisory support post-execution
This structured process enables professional clients to access capital markets through regulated channels supported by experienced market participants.
Contact Information and Website
| Detail | Information |
| Official Website | https://paulsoninvestment.com |
| Main Office Address | Portland, Oregon, USA |
| Regulatory Status | SEC registered, FINRA member, Nasdaq approved, SIPC member |
| CRD | 5670 |
Regional Office / Campus Locations
| Region / Area | Location Cities (Focus) |
| Headquarters | Portland, OR (Boutique Investment Banking & Brokerage) |
| Strategic Presence | Offices and engagements across U.S. markets via clearing relationships and national broker networks |
Paulson’s locations and network support institutional execution and underwriting services throughout the U.S. financial system.
Headquarters Location
Why Paulson Investment Company, LLC Matters for Investors
Paulson Investment Company is significant because it:
- Delivers brokerage execution and investment banking services that support issuers and institutional clients in raising capital and executing transactions
- Participates in the regulated community of stock exchange brokers that facilitate access to the US stock market
- Maintains regulatory membership and clearing relationships that align it with networks used by major NASDAQ stock brokers
- Brings over 50 years of experience in capital markets, underwriting, and equity placements
This positioning helps clients navigate execution, financing, and strategic market activity within U.S. public markets.
Readers looking for the complete U.S. stock exchanges list can explore our detailed guide.
Frequently Asked Questions
Q1: Is Paulson Investment Company, LLC a regulated broker-dealer?
Yes. The firm is registered with the SEC, is a FINRA member, and participates in SIPC protections.
Q2: Can I trade U.S. securities through the firm?
Yes. Paulson provides execution and placement services for marketable securities accessed through clearing relationships and exchange connections within the US stock market.
Q3: Does the firm participate with Nasdaq markets?
Yes. Paulson is approved as a member of the Nasdaq Stock Market and engages in transactions that may be routed to systems shared by NASDAQ stock brokers.
Q4: What services does the firm specialize in?
Underwriting, placement, brokerage execution, investment banking, and structured equity offerings.
