Paul F. Viguerie
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 Francis Viguerie, who also goes by VIguerie Paul, Paul Viguerie, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1997. Paul had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2020 - May 18, 2021
LOTUSGROUP ADVISORS
November 2, 2016 - December 5, 2018
UBS FINANCIAL SERVICES INC.
October 11, 2016 - December 5, 2018
UBS FINANCIAL SERVICES INC.
December 23, 1997 - April 17, 1998
J.C. BRADFORD & CO.
Primary Firm SEC Registration
LOTUSGROUP ADVISORS
CRD#: 143379 / SEC#: 801-111051
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
LOTUSGROUP ADVISORS
CRD#: 143379 / SEC#: 801-111051
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 622 |
| AUM (Assets Under Management) | $ 233,912,867 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/16/2024 | ||
| 01/18/2023 |
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.
