RP
Rene M. Paez
PROSPERITY - AN EISNERAMPER COMPANY | Financial Advisor
WEST PALM BEACH, FL 33401
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CRD#: 3275052
RP
Professional summary
Rene Montgomery Paez, who also goes by Rene Montgomery Paez, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in West Palm Beach, Florida and DAI SECURITIES, LLC located in West Palm Beach, Florida.
Rene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Rene has worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rene Montgomery Paez
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 Business: Palm Beach Atlantic University Address: 901 S. Flagler Drive, West Palm Beach, FL, 33401, United States Activity Type: Professor/Teacher Position/Title: Investment Related: No Start Date: 09/01/2021 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: (2)Name of Business: RMP Global Consulting LLC DBA High Impact Legacy Group Address: 9857 Baywinds Drive Apt 9201, West Palm Beach, FL, 33411, United States Activity Type: Consulting firm, business development. Owner Position/Title: Managing Member Investment Related: No Start Date: 08/01/2009 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: This is my consulting firm. I am the managing member of this LLC. Not actively doing any work. (3) Palm Beach for Christ, Inc.; Non-Investment-Related; Palm Beach, FL; Non-Profit Organization; President; Duties include managing weekly men's group; Start Date: 2021; 6-10 Hours/Month; 6-10 Hours/Month During Securities Trading Hours. (4) Independent Insurance Agent; Investment-Related; 505 South Flagler Drive, Suite 900, West Palm Beach, FL 33401; Sale of Insurance Products; Start Date: 2021; 5 Hours/Month
CRS (Client Relationship Summary) - RIA
Click below to view Rene Montgomery Paez'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
February 20, 2024 - Present
PROSPERITY - AN EISNERAMPER COMPANY
Office #1: 505 South Flagler Drive Suite 900, West Palm Beach, FL 33401RIA
CRD#: 133777
WEST PALM BEACH, FL
Current
May 7, 2023 - Present
DAI SECURITIES, LLC
Office #1: 505 S Flagler Dr Suite 900, West Palm Beach, FL 33401BD
CRD#: 36673
West Palm Beach, FL
Past
April 17, 2023 - February 22, 2024
EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC
RIA
CRD#: 121863
West Palm Beach, FL
Past
June 9, 2021 - February 10, 2023
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
WEST PALM BEACH, FL
Past
April 12, 2021 - February 10, 2023
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
WEST PALM BEACH, FL
Past
April 1, 2005 - February 7, 2007
BESSEMER INVESTOR SERVICES, INC.
BD
CRD#: 17442
MIAMI, FL
Past
October 10, 2002 - March 14, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 16, 1999 - November 6, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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".
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)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
Florida(5/7/2023)
IAR
Florida(9/18/2024)
RR
Georgia(5/7/2023)
RR
New Jersey(5/7/2023)
RR
New York(5/7/2023)
RR
North Carolina(5/7/2023)
RR
Texas(5/7/2023)
IAR
Texas(2/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/12/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117
Mailing Address
Phone number
(410) 363-7211
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,557 |
| AUM (Assets Under Management) | $ 3,195,898,263 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROSPERITY - AN EISNERAMPER COMPANY
Financial AdvisorCRD#: 133777West Palm Beach, FL 33401TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
