PM
Paul R. Moody
MCDONALD PARTNERS LLC
BOYNE CITY, MI 49712
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CRD#: 1184243
PM
Professional summary
Paul Richard Moody is a registered financial advisor currently at MCDONALD PARTNERS LLC located in Boyne City, Michigan.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Boyne Outfitters (www.Boyneoutfitters.com); Investment Related: No; Address: 1 Boyne Mountain Road; Seasonal fly fishing guide; Start Date: 01/28/2016; 16 hours per month; 0 time during business hours; Mr. Moody is a seasonal fly fishing guide (generally April through September) and receives a nominal amount of compensation per trip. Boyne USA (www.BoyneResorts.com), Investment Related: No; Address: 1 Boyne Mountain Road; Ski instructor; Start Date: 12/1/2023; 20 hours per month; 0 time during business hours; Mr. Moody is a ski instructor for ~5-8 hours on weekends only (not every weekend) during ski season, generally December through March. Mr. Moody is a licensed insurance agent who sells variable annuity and life insurance with various insurance companies and receives standard commissions. He spends <5 hours per month on these activities.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Richard Moody's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Richard Moody's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 8, 2015 - Present
MCDONALD PARTNERS LLC
Office #1: 109 Water St. Suite 1b, Boyne City, MI 49712Office #2: 109 Water Street Suite 1b, Boyne City, MI 49712RIA
BD
CRD#: 135414
BOYNE CITY, MI
Current
May 22, 2015 - Present
MCDONALD PARTNERS LLC
Office #1: 109 Water Street Suite 1b, Boyne City, MI 49712RIA
BD
CRD#: 135414
Boyne City, MI
Past
April 21, 2010 - December 1, 2016
OPTIMAL CAPITAL ADVISORS, LLC
RIA
CRD#: 144719
TRAVERSE CITY, MI
Past
September 29, 2008 - October 6, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
BOSTON, MA
Past
February 28, 1997 - October 6, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
October 11, 1990 - January 10, 1997
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
June 29, 1989 - August 10, 1995
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
July 29, 1988 - May 16, 1989
CRICO SECURITIES CORPORATION
BD
CRD#: 11286
Past
November 25, 1983 - August 10, 1995
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
October 20, 1983 - July 17, 1984
MANLEY, BENNETT, MCDONALD & CO
BD
CRD#: 551
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MP
MCDONALD PARTNERS LLC
MCDONALD MANAGEMENT LLC | THOMAS MCDONALD PARTNERS, LLC | THOMAS MCDONALD & ASSOCIATES LLC | THOMAS MCDONALD & ASSOCIATES | MPCF LLC | MPCF II LLC | MP127 LLC | MP DPI LLC | MCDONALD USAF GP LLC | MCDONALD PARTNERS LLC
CRD#: 135414 / SEC#: 801-64294, 8-66985
RIA
Registered Investment Advisory firm - SEC (5/6/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(5/27/2015)
IAR
Michigan(4/15/2015)
RR
Michigan(8/16/2018)
RR
Ohio(5/15/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MP
MCDONALD PARTNERS LLC
MCDONALD MANAGEMENT LLC | THOMAS MCDONALD PARTNERS, LLC | THOMAS MCDONALD & ASSOCIATES LLC | THOMAS MCDONALD & ASSOCIATES | MPCF LLC | MPCF II LLC | MP127 LLC | MP DPI LLC | MCDONALD USAF GP LLC | MCDONALD PARTNERS LLC
CRD#: 135414 / SEC#: 801-64294, 8-66985
RIA
Registered Investment Advisory firm - SEC (5/6/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1301 East 9th Street Suite 3700, Cleveland, OH 44114
Mailing Address
1301 East 9th Street Suite 3700, Cleveland, OH 44114
Phone number
(216) 912-0567
Established
Ohio since 04/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
33
SEC notice filing (42 States and Territories)
FINRA licenses (48 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, THOMAS MARION | OWNER | 326904 |
| MCDONALD, ARNOLD BEATTY | FINANCIAL & OPERATIONS PRINCIPAL | 5126644 |
| MCDONALD, ARNOLD BEATTY | CEO/CFO/MUNI PRINCIPAL/OWNER | 5126644 |
| MCDONALD, BRIAN ANDREW | OWNER | 3037343 |
| RAFAT NAIN NEMRY | OWNER | |
| HARTZLER, JONATHAN DANIEL | CHIEF COMPLIANCE OFFICER | 5163442 |
| HEGARTY, WILLIAM MAURICE JR | CHIEF INVESTMENT OFFICER | 2784174 |
| MANSOUR, RITA | OWNER | 1968418 |
| MCARDLE, JOHN EDWARD III | OWNER | 5386698 |
| NORTON, TIMOTHY PATRICK | OWNER | 726982 |
Regulatory assets under management
| Total Number of Accounts | 2,024 |
| AUM (Assets Under Management) | $ 1,287,456,830 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2025 | ||
| 10/02/2025 | ||
| 01/06/2025 | ||
| 01/06/2025 | ||
| 09/18/2023 | ||
| 09/18/2023 | ||
| 01/04/2023 | ||
| 01/04/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
