Paul H. Downey
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 Harris Downey was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - July 2, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 11, 2007 - July 13, 2018
STRATEGIC ADVISERS LLC
August 8, 2002 - July 1, 2021
FIDELITY BROKERAGE SERVICES LLC
August 19, 1999 - July 31, 2001
ONECORE SECURITIES, INC.
April 5, 1994 - March 15, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
May 22, 1990 - April 7, 1994
FIDELITY BROKERAGE SERVICES LLC
June 10, 1988 - December 31, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 10, 1988 - December 31, 1989
MONY SECURITIES CORPORATION
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
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