Paul F. Mcdonald
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 Frank Mcdonald was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2006 - November 22, 2019
MORTON WEALTH
July 8, 1997 - October 22, 2003
CHARLES SCHWAB & CO., INC.
March 25, 1996 - October 22, 2003
CHARLES SCHWAB & CO., INC.
March 24, 1995 - February 26, 1996
FIMCO SECURITIES GROUP, INC.
April 27, 1994 - October 20, 1994
IDS LIFE INSURANCE COMPANY
April 27, 1994 - October 20, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
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
Series 8
Date: 3/24/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,622 |
| AUM (Assets Under Management) | $ 2,956,328,474 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/31/2025 | ||
| 10/30/2023 | ||
| 06/21/2023 | ||
| 02/14/2023 | ||
| 11/28/2022 |
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.
