Paul Ma

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

NORTH ATTLEBORO, MA

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CRD#: 4237683

Professional summary

Paul Ma, CFA is a registered financial advisor currently at FIDELITY INSTITUTIONAL WEALTH ADVISER LLC located in North Attleboro, Massachusetts and FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Paul has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 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 Ma'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®

CFA

Chartered Financial Analyst

Experience

Current

September 29, 2020 - Present

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

Office #2: 500 Salem Street, Smithfield, RI 02917

RIA

CRD#: 301896

NORTH ATTLEBORO, MA

Current

August 31, 2015 - Present

FIDELITY DISTRIBUTORS COMPANY LLC

Office #1: 500 Salem Street, Smithfield, RI 02917

CRD#: 17507

Smithfield, RI

Current

June 13, 2022 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 500 Salem Street, Smithfield, RI 02917

CRD#: 13041

Smithfield, RI

Current

June 14, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 500 Salem Street, Smithfield, RI 02917

CRD#: 7784

Smithfield, RI

Past

March 4, 2013 - July 30, 2014

QUAD CAPITAL, LLC

CRD#: 148927

NEW YORK, NY

Past

August 8, 2000 - August 31, 2000

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896 / SEC#: 801-116860

RIA

Registered Investment Advisory firm - (6/28/2019 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.

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

Alabama
(9/2/2015)

Alaska
(9/2/2015)

Arizona
(9/22/2015)

Arkansas
(9/2/2015)

California
(9/2/2015)

Colorado
(8/31/2015)

Connecticut
(8/31/2015)

Delaware
(9/2/2015)

District of Columbia
(8/31/2015)

Florida
(8/31/2015)

Georgia
(9/2/2015)

Hawaii
(9/2/2015)

Idaho
(8/31/2015)

Illinois
(8/31/2015)

Indiana
(9/2/2015)

Iowa
(9/2/2015)

Kansas
(9/2/2015)

Kentucky
(9/2/2015)

Louisiana
(8/31/2015)

Maine
(8/31/2015)

Maryland
(8/31/2015)

Massachusetts
(9/2/2015)

IAR

Massachusetts
(10/6/2020)

Michigan
(9/2/2015)

Minnesota
(9/2/2015)

Mississippi
(9/2/2015)

Missouri
(9/2/2015)

Montana
(9/2/2015)

Nebraska
(9/2/2015)

Nevada
(9/2/2015)

New Hampshire
(9/2/2015)

New Jersey
(8/31/2015)

IAR

New Jersey
(1/17/2025)

New Mexico
(9/2/2015)

New York
(9/2/2015)

North Carolina
(9/3/2015)

North Dakota
(9/2/2015)

Ohio
(8/31/2015)

Oklahoma
(9/2/2015)

Oregon
(9/2/2015)

Pennsylvania
(9/2/2015)

Puerto Rico
(9/15/2015)

Rhode Island
(9/2/2015)

IAR

Rhode Island
(9/29/2020)

South Carolina
(9/2/2015)

South Dakota
(9/2/2015)

Tennessee
(9/2/2015)

Texas
(9/2/2015)

IAR

Texas
(9/29/2020)

Utah
(9/2/2015)

Vermont
(8/31/2015)

Virginia
(9/2/2015)

Washington
(9/2/2015)

West Virginia
(9/2/2015)

Wisconsin
(9/2/2015)

Wyoming
(9/2/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/2/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/11/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/3/2015

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896 / SEC#: 801-116860

RIA

Registered Investment Advisory firm - (6/28/2019 Approved)

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Contact information

Main Address

245 Summer Street, Boston, MA 02210

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

194

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY INSTITUTIONAL CUSTOM SMAS (6/23/2025)

FIDELITY MANAGED ACCOUNT XCHANGE ESSENTIALS (3/31/2025)

FIDELITY MANAGED ACCOUNT XCHANGE (3/31/2025)

FIDELITY MODEL PORTFOLIO SOLUTIONS (3/31/2025)

Regulatory assets under management

Total Number of Accounts	829
AUM (Assets Under Management)	$ 6,468,261,663

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
08/22/2024	Cover Page	Report
10/23/2023	Cover Page	Report
01/26/2023	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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Advisor Monitoring

Firm Stability Insights

Paul Ma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIDELITY DISTRIBUTORS COMPANY LLC

NATIONAL FINANCIAL SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

QUAD CAPITAL, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/2/2015

Series 66

Date: 12/11/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2013

Series 24

Date: 9/3/2015

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

TRUST BUT VERIFY

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