Paul D. Travis
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 Douglas Travis, who also goes by Paul Travis, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2010 - December 21, 2012
CREATIVE FINANCIAL DESIGNS, INC.
August 18, 2010 - December 21, 2012
CFD INVESTMENTS, INC.
December 8, 2009 - August 16, 2010
NRP FINANCIAL, INC.
November 30, 2009 - August 17, 2010
NRP ADVISORS, INC.
March 13, 2008 - March 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2008 - March 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2005 - February 21, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 23, 2005 - February 21, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 14, 2004 - December 13, 2004
CREATIVE FINANCIAL DESIGNS, INC.
April 9, 2004 - December 13, 2004
CFD INVESTMENTS, INC.
April 2, 2003 - April 7, 2004
SUMMIT FINANCIAL GROUP INC
January 30, 2003 - April 7, 2004
SUMMIT BROKERAGE SERVICES, INC.
May 24, 2002 - December 5, 2002
FIDUCIAL INVESTMENT ADVISORS, INC.
May 21, 2002 - December 5, 2002
FIDUCIAL INVESTMENT ADVISORS, INC.
April 20, 2001 - March 18, 2002
IDS LIFE INSURANCE COMPANY
April 20, 2001 - March 18, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
June 9, 1993 - June 12, 1998
SICOR SECURITIES INC
April 29, 1991 - July 23, 1991
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
Primary Firm SEC Registration
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
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
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
