Paul M. Embree

EMBREE FINANCIAL GROUP

CHICAGO, IL 60610

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CRD#: 1714334

Professional summary

Paul Moody Embree, who also goes by Paul Embree, is a registered financial advisor currently at EMBREE FINANCIAL GROUP located in Chicago, Illinois.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Paul has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Embree

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 Paul Moody Embree'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

January 24, 2000 - Present

EMBREE FINANCIAL GROUP

Office #1: 440 N. Wells St. Suite #530, Chicago, IL 60610

RIA

CRD#: 108233

CHICAGO, IL

Past

September 8, 2009 - May 25, 2011

LPL FINANCIAL LLC

CRD#: 6413

CHICAGO, IL

Past

August 4, 1998 - December 31, 2003

PLOWSHARES ASSET MANAGEMENT, L.L.C.

RIA

CRD#: 109777

CHICAGO, IL

Past

July 20, 1998 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

CHICAGO, IL

Past

March 30, 1995 - July 14, 1998

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 26, 1993 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

July 26, 1993 - September 26, 1994

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

December 22, 1987 - September 26, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

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".

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(1/24/2000)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/24/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/19/1987

National Commodity Futures Examination

Current Firm

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 Terminated)

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Contact information

Main Address

440 N Wells St Suite 530, Chicago, IL 60654

Mailing Address

Phone number

(312) 527-5565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - EMBREE FINANCIAL GROUP (2/14/2025)

Regulatory assets under management

Total Number of Accounts	2,363
AUM (Assets Under Management)	$ 2,282,297,500

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.

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Advisor Monitoring

Firm Stability Insights

Paul M. Embree

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Moody Embree's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PLOWSHARES ASSET MANAGEMENT, L.L.C.

WATERSTONE FINANCIAL GROUP, INC.

SUNAMERICA SECURITIES, INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

EMBREE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/1998

Series 63

Date: 2/24/1988

Series 7

Date: 12/19/1987

Series 3

Date: 8/19/1987

Current Firm

EMBREE FINANCIAL GROUP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMBREE FINANCIAL GROUP

TRUST BUT VERIFY

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