Paul Elliot

ELCO MANAGEMENT COMPANY

New York, NY 10017

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CRD#: 200116

Professional summary

Paul Elliot, CFA, who also goes by Paul Elbaum, is a registered financial advisor currently at ELCO MANAGEMENT COMPANY, LLC located in New York, New York.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Paul has worked at 11 firms and has passed the Series 63, SIE, PC, Series 16, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Elbaum

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 Elliot'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®

CFA

Chartered Financial Analyst

Experience

Current

December 8, 2021 - Present

ELCO MANAGEMENT COMPANY, LLC

Office #1: 369 Lexington Avenue 3rd Floor, New York, NY 10017

RIA

CRD#: 137036

New York, NY

Past

September 16, 2016 - May 31, 2017

GARY GOLDBERG & CO., LLC

CRD#: 47957

New York, NY

Past

January 21, 2004 - March 31, 2016

BURNHAM SECURITIES INC.

CRD#: 22549

NEW YORK, NY

Past

October 17, 2002 - January 20, 2004

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

October 18, 2000 - October 3, 2002

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

July 1, 1998 - October 19, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

June 28, 1982 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

July 8, 1980 - August 18, 1980

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

November 26, 1979 - January 13, 1981

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

February 16, 1973 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

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".

ELCO MANAGEMENT COMPANY, LLC

ELCO MANAGEMENT CO., LLC | ELCO PARTNERS, LLC (RELYING ADVISER) | ELCO MANAGEMENT COMPANY, LLC

CRD#: 137036 / SEC#: 801-64940

RIA

Registered Investment Advisory firm - (12/8/2005 Approved)

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

California
(10/11/2023)

IAR

Connecticut
(10/11/2023)

IAR

Florida
(1/7/2025)

IAR

New Jersey
(10/17/2023)

IAR

New York
(12/8/2021)

IAR

Pennsylvania
(10/11/2023)

IAR

Texas
(12/8/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 11/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 11/13/1985

AMEX Put and Call Exam

General Industry/Product Exam

Series 16

Date: 5/4/1985

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 1

Date: 3/10/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 2/12/1973

General Securities Principal Examination

Current Firm

ELCO MANAGEMENT COMPANY, LLC

ELCO MANAGEMENT CO., LLC | ELCO PARTNERS, LLC (RELYING ADVISER) | ELCO MANAGEMENT COMPANY, LLC

CRD#: 137036 / SEC#: 801-64940

RIA

Registered Investment Advisory firm - (12/8/2005 Approved)

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Contact information

Main Address

369 Lexington Avenue 3rd Floor, New York, NY 10017

Mailing Address

Phone number

(212) 603-7582

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (3/18/2025)

FORM ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 252,164,808

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Paul Elliot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GARY GOLDBERG & CO., LLC

BURNHAM SECURITIES INC.

DOMINICK & DICKERMAN LLC

DOMINICK & DICKERMAN LLC

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

MOSELEY SECURITIES CORPORATION

LEHMAN BROTHERS INC.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

Primary Firm SEC Registration

ELCO MANAGEMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/15/1983

SIE

Date: 5/31/2017

PC

Date: 11/13/1985

Series 16

Date: 5/4/1985

Series 1

Date: 3/10/1967

Series 00

Date: 2/12/1973

Current Firm

ELCO MANAGEMENT COMPANY, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELCO MANAGEMENT COMPANY, LLC

TRUST BUT VERIFY

Contact information

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