PP
Paul M. Purcell
CETERA INVESTMENT ADVISERS LLC
AUSTIN, TX 78735
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CRD#: 2630847
PP
Professional summary
Paul Michael Purcell is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Austin, Texas and CETERA WEALTH SERVICES, LLC located in Austin, Texas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Paul has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 24 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.NAME OF OTHER BUSINESS: VARIOUS INSURANCE CARRIERS INVESTMENT RELATED: NO ADDRESS: NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE START DATE: APPROX. NUMBER OF HOURS PER MONTH: APPROX. NUMBER OF HOURS DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE INSURANCE 2.NAME OF OTHER BUSINESS: IN THE ZONE SPORTS CARDS INVESTMENT RELATED: NO ADDRESS: 8725 CORRAN FERRY DRIVE, AUSTIN TX 78749 NATURE OF BUSINESS: SELLS OF SPORTS CARDS POSITION/TITLE/RELATIONSHIP: OWNER, MANAGER, SOLE PROPRIETOR START DATE: 11/2011 APPROX. NUMBER OF HOURS PER MONTH: 8 APPROX. NUMBER OF HOURS DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: PURCHASES SPORTS CARDS WITH THE INTENTION OF SELLING THEM AT A PROFIT THROUGH ONLINE AUCTION SITE, EBAY. COM 3. NAME OF OTHER BUSINESS: MAUGEL & PURCELL FINANCIAL SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS BRANCH NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: OWNER/PARTNER START DATE: APPROX. NUMBER OF HOURS PER MONTH: 240 APPROX. NUMBER OF HOURS DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: FINANCIAL & INSURANCE SERVICES OFFERED THROUGH THE BROKER-DEALER 4.NAME OF OTHER BUSINESS: SOUTH AUSTIN LITTLE LEAGUE INVESTMENT RELATED: NO ADDRESS: 1704 TOOMEY RD AUSTIN TX 78704 NATURE OF BUSINESS: LITTLE LEAGUE BASEBALL START DATE: 2/2014 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: GENERAL DUTIES; 5. NAME OF OTHER BUSINESS: PURCELL FINANCIAL SOLUTIONS GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE:09/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 60, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Paul Michael Purcell'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5307 West Hwy 290 Bldg 2, Ste 1, Austin, TX 78735RIA
CRD#: 105644
AUSTIN, TX
Current
May 9, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5307 West Hwy 290 Bldg 2, Ste 1, Austin, TX 78735BD
CRD#: 13572
Austin, TX
Past
May 9, 2012 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
February 9, 2009 - September 19, 2011
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
AUSTIN, TX
Past
May 20, 2008 - September 19, 2011
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
AUSTIN, TX
Past
September 19, 2000 - May 2, 2008
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
September 19, 2000 - May 2, 2008
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
February 23, 1999 - September 14, 2000
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 12, 1996 - February 26, 1999
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
August 1, 1995 - April 3, 1996
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Arizona(7/21/2016)
RR
California(5/9/2012)
RR
Colorado(3/20/2019)
RR
Florida(10/12/2016)
RR
Georgia(2/18/2022)
RR
Indiana(5/9/2012)
RR
Michigan(1/25/2021)
RR
New Jersey(9/27/2017)
RR
New York(5/9/2012)
RR
North Carolina(10/1/2019)
RR
Pennsylvania(5/9/2012)
RR
Texas(5/9/2012)
IAR
Texas(6/29/2023)
RR
Virginia(6/21/2024)
RR
Washington(12/18/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
