RP
Richard M. Paul
POTOMAC ADVISORS
Lakewood Ranch, FL
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CRD#: 1603141
RP
Professional summary
Richard Matthew Paul, who also goes by Richard Paul, is a registered financial advisor currently at POTOMAC ADVISORS, INC. located in Lakewood Ranch, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Richard has worked at 2 firms and has passed the Series 65, Series 63, Series 2 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Paul
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.
Richard M. Paul, is a managing member (Manager) as of January 4, 2006 of Triple Creek Mountain Properties, LLC, an investment related real estate development business venture. The principal office street and mailing address is 7215 Teal Creek Glen, 34202. Mr. Paul spends an approximately one to four hours per month devoted to the business and no more than one hour at a time during securities trading hours.
Management. The business and affairs of the Company are managed by the Managers. ln addition to the powers and authorities expressly conferred by the Operating Agreement upon the Managers, the Managers shall have full and complete authority, power and discretion to manage and control the business of the Company, to make all decisions regarding those matters and to perform any and all other acts or activities customary to or incident to the management of the Company's business, except only as to those acts and things as to which approval by the Members is expressly required by the Articles of Organization, the Operating Agreement, the or applicable law. At any time when there is more than one Manager any one Manager may take any action permitted to be taken by the Managers, unless the approval of more than one of the Managers is expressly required pursuant to the Operating Agreement or applicable law.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Matthew Paul'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 18, 2006 - Present
POTOMAC ADVISORS, INC.
RIA
CRD#: 131070
Lakewood Ranch, FL
Past
February 27, 2004 - September 25, 2012
POTOMAC
RIA
CRD#: 105413
EASTON, MD
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
Florida(4/18/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 2
Date: 11/22/1989
Non-Member General Securities ExaminationGeneral Industry/Product Exam
Current Firm
PA
POTOMAC ADVISORS, INC.
POTOMAC ADVISORS, INC.
CRD#: 131070 / SEC#: 801-118200
RIA
Registered Investment Advisory firm - (2/20/2024 Terminated)Florida
Registered Investment Advisory firm - (2/15/2024 Approved)Idaho
Registered Investment Advisory firm - (9/25/2024 Approved)Maryland
Registered Investment Advisory firm - (4/13/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Lakewood Ranch, FL
Mailing Address
Phone number
(941) 870-3426
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 19,360,702 |
Red Flags
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