Emmanuel N. Paras
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.
Emmanuel Nierva Paras, who also goes by Noel Nierva Paras, Emmanuel Paras, was a registered financial professional .
Emmanuel is a previously registered financial professional and started their career in finance in 1990. Emmanuel had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2021 - February 4, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 29, 2021 - February 4, 2025
FIDELITY BROKERAGE SERVICES LLC
April 12, 2016 - March 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 7, 2016 - March 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 25, 2004 - April 7, 2016
SCOTTRADE, INC.
May 30, 2002 - August 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2001 - August 12, 2002
IDS LIFE INSURANCE COMPANY
December 13, 2001 - August 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 1992 - June 11, 2001
QUICK & REILLY, INC.
October 2, 1990 - November 15, 1990
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
