Paul D. Adams
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Duwayne Adams, who also goes by Paul Duwane Adams, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1970. Paul had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2017 - February 27, 2023
LPL FINANCIAL LLC
November 29, 2017 - February 27, 2023
LPL FINANCIAL LLC
October 6, 2010 - November 29, 2017
NATIONAL PLANNING CORPORATION
November 5, 2008 - November 29, 2017
NATIONAL PLANNING CORPORATION
October 31, 2005 - November 17, 2008
OSAIC SERVICES, INC.
October 31, 2005 - November 17, 2008
OSAIC SERVICES, INC.
December 15, 2000 - October 31, 2005
SUNAMERICA SECURITIES, INC.
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 13, 1988 - August 22, 1988
COLORADO INVESTOR RESOURCES, INC.
July 13, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 21, 1985 - March 17, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
November 10, 1981 - July 12, 1985
FMR SECURITIES, INC.
May 28, 1980 - August 14, 1981
MANNA CAPITAL MANAGEMENT
February 5, 1974 - October 25, 1975
SECURITY COUNSELORS INC.
June 19, 1972 - March 7, 1974
WADDELL & REED
June 3, 1971 - August 24, 1972
ALEXANDER HAMILTON FINANCIAL INC.
January 22, 1971 - January 31, 1980
WESTFIELD SECURITIES COMPANY
August 1, 1970 - July 7, 1971
PLANNED GROWTH SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/25/1970
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
