Paul George Larosa
Professional Summary
Paul George Larosa is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in New York, New York and MAXIM GROUP LLC located in New York, New York. Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Paul has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 16, Series 55, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Years of Experience
37 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Current Firm
MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC
Contact Information
Main Address
300 Park Ave 16th Fl, New York, NY 10022Phone Number
(212) 895-3500# of Employees
35SEC notice filing (24 States and Territories)
Registered to provide investment advisory services in 24 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
775AUM (Assets Under Management)
$445,461,887Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/17/2026 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 09/17/2024 | Cover Page | Report |
| 12/19/2023 | Cover Page | Report |
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Primary Firm SEC Registration
MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC
State Registrations and Notice Filings
(5/21/2020)
(10/7/2002)
(4/16/2010)
(10/25/2002)
(7/12/2019)
(10/9/2002)
(3/9/2021)
(5/15/2020)
(2/9/2024)
(10/17/2002)
(1/5/2015)
(7/8/2003)
(1/4/2019)
(10/4/2002)
(7/19/2021)
(10/30/2020)
(5/6/2016)
(8/25/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 62 — Corporate Securities Limited Representative Examination
Passed Dec 1988SRO Registrations
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - RIA
Click below to view Paul George Larosa's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
