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MP

Michael J. Paton

TOCQUEVILLE ASSET MANAGEMENT LP
New York, NY 10019
Some features on this profile are disabled
CRD#: 1205322
MP

Professional summary

Michael John Paton is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Michael has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Paton's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 13, 2021 - Present

TOCQUEVILLE ASSET MANAGEMENT LP

Office #1: 40 West 57th Street 19th Floor, New York, NY 10019
RIA
CRD#: 105690
New York, NY

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".
TA
TOCQUEVILLE ASSET MANAGEMENT LP
TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA
Registered Investment Advisory firm - (4/27/1990 Approved)

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.

Highlighted states indicate IAR registrations

IAR
New York
(9/13/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/11/1995
Uniform Investment Adviser Law Examination

Current Firm

TA
TOCQUEVILLE ASSET MANAGEMENT LP
TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA
Registered Investment Advisory firm - (4/27/1990 Approved)
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Contact information

Main Address
40 West 57th Street 19th Floor, New York, NY 10019
Mailing Address
Phone number
(212) 698-0800
Established
Firm type
Fiscal year end
# of Employees
77

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TOCQUEVILLE ASSET MANAGEMENT LP BROCHURE JUNE 2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts2,440
AUM (Assets Under Management)$ 9,660,385,107

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/26/2025
Cover Page
Report
09/27/2024
Cover Page
Report
02/22/2024
Cover Page
Report
03/16/2023
Cover Page
Report

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.

Company Information

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690New York, NY 10019

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