Paul W. Macdonald
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.
Paul William Macdonald JR, who also goes by Paul W. Macdonald Jr, Paul William Macdonald, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2006. Paul had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2016 - February 28, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 19, 2016 - February 28, 2018
TD AMERITRADE, INC.
November 20, 2014 - February 28, 2018
TD AMERITRADE, INC.
November 9, 2012 - January 17, 2014
DUNHAM
November 6, 2012 - January 17, 2014
DUNHAM
May 19, 2011 - November 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2011 - November 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2009 - May 20, 2011
CHASE INVESTMENT SERVICES CORP.
September 24, 2009 - May 20, 2011
CHASE INVESTMENT SERVICES CORP.
June 2, 2009 - July 29, 2009
MML INVESTORS SERVICES, LLC
June 2, 2009 - July 29, 2009
MML INVESTORS SERVICES, LLC
January 10, 2008 - April 3, 2009
STRATEGIC ADVISERS LLC
January 25, 2006 - April 3, 2009
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
