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RP

Rene Paez

Some features on this profile are disabled
CRD#: 3275052
RP

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.

Rene Paez, who also goes by Rene Montgomery Paez, was a registered financial professional .

Rene is a previously registered financial professional and started their career in finance in 1999. Rene had 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 20, 2024 - May 1, 2026

PROSPERITY - AN EISNERAMPER COMPANY

RIA
CRD#: 133777
WEST PALM BEACH, FL
Past

May 7, 2023 - April 26, 2026

DAI SECURITIES, LLC

BD
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/28/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/12/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/23/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/28/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/1999
General Securities Representative Examination

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts5,557
AUM (Assets Under Management)$ 3,195,898,263

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.

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

Financial AdvisorCRD#: 133777

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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