DP
Douglas E. Pauly
CAPITAL CITY ASSET MANAGEMENT GROUP
ASHLAND, OH 44805
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CRD#: 4714361
DP
Professional summary
Douglas E Pauly is a registered financial advisor currently at CAPITAL CITY ASSET MANAGEMENT GROUP, LLC located in Ashland, Ohio and CAPITAL CITY SECURITIES, LLC located in Ashland, Ohio.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Douglas has worked at 4 firms and has passed the SIE and Series 7 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.
PAULY CPA INC INV RELATED: NO ADDRESS: 535 CLAREMONT AVE ASHLAND OH 44805 TITLE: CEO NATURE: FULL ACCOUNTING & TAX CONSULTATION & PREPARATION MANAGER DUTIES: CONSULTATION, TAX PREPARATION, & SUPERVISION OF STAFF START; 01/01/12 1500HR/YEAR. 6 1/2 HR/DAY DURING TRADING HOURS.
OAK TREE FINANCIAL, LIMITED PARTNERSHIP, 1319 TR 1519, ASHLAND, OH ACCOUNTING AND RENTALS, 50% PARTNER, NON INVESTMENT RELATED, 2 HOUR PER MONTH, NO HOURS DURING TRADING STARTED 01/01/2013.
PK PAULY LTD. 1319 TR 1503 ASHLAND OH 44805 STARTED: 8/1999. NOT INVESTMENT RELATED. TITLE: 46% PARTNER. ACCOUNTING & TAX PREP. NOT DURING TRADING HOURS.
IMHOLF CEMETERY TRUST. 1260 SR 603 ASHLAND OH 44805. TITLE: SECRETARY/TREASURER. ACCOUNTING. NON PROFIT CEMETERY ASSN. NO FINCL INTEREST NO COMPENSATION. 10HRS/YR.
ASHLAND CITY SCHOOLS FOUNDATION. PO BOX 186 ASHLAND OH 44805. 9/1/2018 TREASURER & BOARD MEMBER NO COMPENSATION.
YOUNG MENS BUSINESS CLUB. PO BOX 394 ASHLAND OH 44805 9/26/2012 TREASURER. NON PROFIT NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas E Pauly'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®
NoneExperience
Current
May 19, 2009 - Present
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC
Office #1: 1237 S.r. 42, Ashland, OH 44805RIA
CRD#: 134008
ASHLAND, OH
Current
August 8, 2008 - Present
CAPITAL CITY SECURITIES, LLC
Office #1: 1237 Sr 42, Ashland, OH 44805BD
CRD#: 146001
Ashland, OH
Past
March 8, 2007 - September 24, 2008
REGIS SECURITIES CORPORATION
BD
CRD#: 103711
WESTERVILLE, OH
Past
June 16, 2004 - March 14, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ASHLAND, OH
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
Ohio(8/8/2008)
IAR
Ohio(5/19/2009)
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CC
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC | CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP, LLC | CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP
CRD#: 134008 / SEC#: 801-64792
RIA
Registered Investment Advisory firm - (11/24/2017 Terminated)Florida
Registered Investment Advisory firm - (10/5/2017 Approved)New York
Registered Investment Advisory firm - (12/16/2016 Approved)North Carolina
Registered Investment Advisory firm - (4/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/21/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3789 Attucks Dr, Powell, OH 43065
Mailing Address
Phone number
(614) 485-0803
Established
Firm type
Fiscal year end
# of Employees
14
Regulatory assets under management
| Total Number of Accounts | 246 |
| AUM (Assets Under Management) | $ 43,328,751 |
Red Flags
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Company Information
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC
CRD#: 134008Ashland, OH 44805TRUST BUT VERIFY
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