Paul E. Hebert
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 Ernest Hebert was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2017 - January 2, 2025
MAI CAPITAL MANAGEMENT, LLC
September 26, 2006 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
November 9, 2005 - July 12, 2017
STRATEGIC ADVISERS LLC
May 24, 1996 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
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
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 40,758 |
| AUM (Assets Under Management) | $ 29,630,499,856 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 01/28/2024 |
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.
