Richard T. Paulson

J. SAFRA ASSET MANAGEMENT

New York City, NY 10036

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CRD#: 4008807

Professional summary

Richard T. Paulson is a registered financial advisor currently at J. SAFRA ASSET MANAGEMENT CORPORATION located in New York City, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 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.

Trustee of Adventure Unlimited (youth charity). Chair of Investment Committee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard T. Paulson's CRS (Customer Relationship Summary).

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

January 27, 2025 - Present

J. SAFRA ASSET MANAGEMENT CORPORATION

Office #1: 546 Fifth Avenue, New York City, NY 10036

RIA

CRD#: 131243

New York City, NY

Past

October 29, 2014 - January 30, 2024

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

November 2, 1999 - February 28, 2014

GOLDMAN SACHS & CO. LLC

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".

J. SAFRA ASSET MANAGEMENT CORPORATION

J. SAFRA ASSET MANAGEMENT CORPORATION | SAFRA ASSET MANAGEMENT CORPORATION

CRD#: 131243 / SEC#: 801-63032

RIA

Registered Investment Advisory firm - (4/15/2004 Approved)

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

Florida
(5/22/2025)

IAR

New Jersey
(3/11/2025)

IAR

New York
(1/27/2025)

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 65

Date: 1/27/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/1999

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/14/1999

National Commodity Futures Examination

Current Firm

J. SAFRA ASSET MANAGEMENT CORPORATION

J. SAFRA ASSET MANAGEMENT CORPORATION | SAFRA ASSET MANAGEMENT CORPORATION

CRD#: 131243 / SEC#: 801-63032

RIA

Registered Investment Advisory firm - (4/15/2004 Approved)

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Contact information

Main Address

546 Fifth Avenue, New York City, NY 10036

Mailing Address

Phone number

(212) 704-5553

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JSAM ADV PART II BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,955
AUM (Assets Under Management)	$ 4,602,669,883

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/27/2024	Cover Page	Report
02/27/2024	Cover Page	Report
03/30/2023	Cover Page	Report

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.

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Richard T. Paulson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard T. Paulson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LORD ABBETT DISTRIBUTOR LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

J. SAFRA ASSET MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2025

Series 63

Date: 10/8/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/1/1999

Series 3

Date: 10/14/1999

Current Firm

J. SAFRA ASSET MANAGEMENT CORPORATION

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

J. SAFRA ASSET MANAGEMENT CORPORATION

TRUST BUT VERIFY

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