Paul M. Travis

COMMUNITY FINANCIAL GROUP

Marlborough, MA 01752

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CRD#: 2791056

Professional summary

Paul Manuel Travis is a registered financial advisor currently at COMMUNITY FINANCIAL GROUP, INC. located in Marlborough, Massachusetts.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Paul has worked at 5 firms and has passed the Series 66, Series 65, Series 63, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Manuel Travis'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®

None

Experience

Current

December 12, 2003 - Present

COMMUNITY FINANCIAL GROUP, INC.

Office #1: 201 Boston Post Road West Suite 406, Marlborough, MA 01752

RIA

CRD#: 129472

Marlborough, MA

Past

January 12, 2004 - August 4, 2004

APW CAPITAL, INC.

RIA

CRD#: 43814

MARLBOROUGH, MA

Past

December 19, 2003 - November 8, 2013

APW CAPITAL, INC.

CRD#: 43814

HUDSON, MA

Past

November 22, 2000 - December 31, 2003

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

September 13, 1999 - November 20, 2000

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 7, 1997 - September 23, 1999

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

October 4, 1996 - November 4, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(12/12/2003)

IAR

Texas
(5/17/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/11/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMMUNITY FINANCIAL GROUP, INC.

CFG | COMMUNITY FINANCIAL GROUP, INC. | COMMUNITY FINANCIAL GROUP

CRD#: 129472 / SEC#: 801-62776

RIA

Registered Investment Advisory firm - (5/30/2012 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/12/2012 Approved)

Texas

Registered Investment Advisory firm - (5/17/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

201 Boston Post Road West Suite 406, Marlborough, MA 01752

Mailing Address

Phone number

(508) 251-2716

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 84,071,950

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.

Contact information

xxxxx@xxxx.xxx

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EDWARD JONES

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Firm Stability Insights

Paul M. Travis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Manuel Travis's CRS (Customer Relationship Summary).

Certified licenses

Experience

APW CAPITAL, INC.

APW CAPITAL, INC.

TOWER SQUARE SECURITIES, INC.

NEW ENGLAND SECURITIES

TOWER SQUARE SECURITIES, INC.

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2003

Series 65

Date: 7/7/1999

Series 63

Date: 10/8/1996

Series 7

Date: 12/18/1998

Series 6

Date: 10/3/1996

Current Firm

COMMUNITY FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COMMUNITY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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