EP
Emerson L. Paul
CETERA INVESTMENT ADVISERS LLC
EPHRATA, PA 17522
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CRD#: 4498796
EP
Professional summary
Emerson Lee Paul, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ephrata, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Ephrata, Pennsylvania.
Emerson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Emerson has worked at 4 firms and has passed the Series 63, SIE, Series 62 and Series 6 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.
(dba) VISION FINANCIAL SERVICES LLC; Investment Related; 226 S Reading Road, Ephrata, PA 17522; Investment Services; Owner; Start Date 02/2019; 80 hours per month with 60 of those hours occurring during trading hours; Primarily mutual fund transactions direct with the fund families as required by my investment clients. >> EMERSON PAUL; Investment Related; 226 S Reading Road, Ephrata, PA 17522; Insurance; Independent Producer; Start Date 01/2015; 2 hours per month during trading hours; Sales and service of life, health, disability, fixed and variable annuity and long-term care insurance products. >> COVENANT CPA LLC; Non-Investment Related; 226 S Reading Road, Ephrata PA 17522; CPA Firm; CPA/Seasonal Tax Preparer; Start Date 12/2018; 40 hours per month with 32 of those hours occurring during trading hours; Tax Preparation and Tax Planning. Payroll, bookkeeping and business consulting are available through Covenant CPAs LLC. >> ST JOHN'S UCC FOUNDATION; Non-Investment Related; 659 S Fourth Street, Denver PA 17517; Church; Committee Member-Treasurer; Start Date 01/2015; 2 hours per month with no hours occurring during trading hours; Attend committee meetings as needed. All requests are also approved by Church Consistory. Serve as a check signer (dual signatures required) for the disbursement of funds as requested and approved. No involvement with actual investment decisions. >> UNITED CHURCH OF CHRIST HOMES; Non-Investment Related; 30 North 31st Street, Camp Hill, PA 17011; Other; Board Member; Start Date 04/2023; 3 hours per month with 1 hour per month occurring during trading hours; Serve as a volunteer board member for this non-profit organization.
CRS (Client Relationship Summary) - RIA
Click below to view Emerson Lee Paul'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®
CFP®
Start date: 2004
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 226 S Reading Road, Ephrata, PA 17522RIA
CRD#: 105644
EPHRATA, PA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 226 S Reading Road, Ephrata, PA 17522BD
CRD#: 13572
Ephrata, PA
Past
February 5, 2019 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Ephrata, PA
Past
February 5, 2019 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Ephrata, PA
Past
September 28, 2004 - February 6, 2019
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
EPHRATA, PA
Past
October 6, 2002 - February 6, 2019
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
EPHRATA, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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(2/20/2025)
RR
Pennsylvania(2/20/2025)
IAR
Pennsylvania(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/23/2016
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Ephrata, PA 17522TRUST BUT VERIFY
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