Paul F. Maurin
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 Frederick Maurin III, CFP®, who also goes by Ernest Paul Frederick Maurin III, Paul Frederick Maurin, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2003. Paul had worked at 6 firms and has passed the Series 66 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
Start date: 2008
Experience
November 3, 2009 - May 3, 2021
CHOREO, LLC
November 2, 2009 - July 17, 2012
BIRCHTREE FINANCIAL SERVICES LLC
June 1, 2009 - November 23, 2009
MORGAN STANLEY
June 1, 2009 - November 23, 2009
MORGAN STANLEY
February 13, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 10, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 6, 2004 - February 20, 2007
AVANTAX ADVISORY SERVICES
December 12, 2003 - February 13, 2007
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CHOREO, LLC
CRD#: 111221 / SEC#: 801-57236
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
CHOREO, LLC
CRD#: 111221 / SEC#: 801-57236
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,137 |
| AUM (Assets Under Management) | $ 18,232,358,701 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 11/12/2024 | ||
| 12/20/2023 | ||
| 11/30/2022 |
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.
