Frederick N. Paulman
Professional summary
Frederick Nmn Paulman, CFP®, who also goes by Fred Paulman, Frederick Paulman, is a registered financial advisor currently at CURI CAPITAL, LLC located in Chicago, Illinois.
Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Frederick has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Nmn Paulman's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2001
Experience
April 14, 2005 - Present
CURI CAPITAL, LLC
Office #1: 115 S. Lasalle 34th Floor, Chicago, IL 60603August 17, 2011 - December 31, 2022
RMB WEST, LLC
June 12, 2002 - April 15, 2005
UBS FINANCIAL SERVICES INC.
September 24, 1996 - April 15, 2005
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CURI CAPITAL, LLC
CRD#: 134249 / SEC#: 801-63939
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/14/2005)
Exams
Current Firm
CURI CAPITAL, LLC
CRD#: 134249 / SEC#: 801-63939
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,209 |
| AUM (Assets Under Management) | $ 9,830,680,915 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/01/2025 | ||
| 11/27/2024 | ||
| 10/27/2023 | ||
| 09/26/2022 |
Red Flags
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