PH
Paul A. Heyman
EXCEL WEALTH MANAGEMENT
MANCHESTER, CT 06040
Some features on this profile are disabled
CRD#: 2458621
PH
Professional summary
Paul Andrew Heyman is a registered financial advisor currently at EXCEL WEALTH MANAGEMENT, LLC located in Manchester, Connecticut and LPL FINANCIAL LLC located in Manchester, Connecticut.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) 11/3/16-Barnum Benefits Advisors - Non-Variable Insurance- Inv. Related- at reported business location(s)- start date 1/1/2010- 2% 2) 10/7/2020 - Excel Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 01/01/2019 - 50 Hours Per Month/33 Hours During Securities Trading - I provide investment advisory services through Excel Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 01/2019. I expect to spend approximately 50 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) LPL Financial; Investment Related; Same Address; Broker-Dealer; Registered Representative; Started in November 2016; 10% of time spent per month.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Andrew Heyman's 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®
NoneExperience
Current
February 25, 2019 - Present
EXCEL WEALTH MANAGEMENT, LLC
Office #1: 935 Main Street Unit E, Manchester, CT 06040RIA
CRD#: 299602
MANCHESTER, CT
Current
November 3, 2016 - Present
LPL FINANCIAL LLC
Office #1: 935 Main Street, Manchester, CT 06040RIA
BD
CRD#: 6413
Manchester, CT
Past
November 3, 2016 - October 7, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
June 3, 2010 - November 8, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
GLASTONBURY, CT
Past
February 4, 2009 - November 8, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GLASTONBURY, CT
Past
June 5, 2003 - February 2, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HADLEY, MA
Past
March 14, 1994 - August 16, 1996
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
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".
EW
EXCEL WEALTH MANAGEMENT, LLC
EXCEL WEALTH MANAGEMENT, LLC
CRD#: 299602 / SEC#: 801-114524
RIA
Registered Investment Advisory firm - (1/28/2019 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(11/3/2016)
IAR
Connecticut(2/25/2019)
RR
Florida(6/21/2019)
RR
Idaho(5/17/2019)
RR
Maryland(6/18/2018)
RR
Massachusetts(12/16/2016)
RR
New Hampshire(6/24/2022)
RR
New Jersey(11/3/2016)
RR
New York(11/3/2016)
RR
North Carolina(1/25/2022)
RR
Pennsylvania(9/3/2024)
RR
Rhode Island(3/1/2017)
RR
Texas(5/18/2017)
RR
Vermont(9/25/2024)
RR
Washington(8/29/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EW
EXCEL WEALTH MANAGEMENT, LLC
EXCEL WEALTH MANAGEMENT, LLC
CRD#: 299602 / SEC#: 801-114524
RIA
Registered Investment Advisory firm - (1/28/2019 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
935 Main Street Unit E, Manchester, CT 06040
Mailing Address
Phone number
(888) 929-9920
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 462 |
| AUM (Assets Under Management) | $ 273,041,547 |
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.
