Paul T. Massie

CRD#: 4824271

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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 Thomas Massie, who also goes by Paul Massie, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2004. Paul had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Massie

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 20, 2024 - May 18, 2026

13D MANAGEMENT LLC

RIA

CRD#: 154009

NEW YORK, NY

Past

March 29, 2023 - April 30, 2026

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

New York, NY

Past

February 2, 2022 - January 30, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

January 13, 2021 - January 10, 2023

INNOVATIVE PORTFOLIOS LLC

RIA

CRD#: 281382

North Caldwell, NJ

Past

November 13, 2020 - November 30, 2021

ARBOR COURT CAPITAL, LLC

CRD#: 143839

BROADVIEW HEIGHTS, OH

Past

April 8, 2020 - November 30, 2021

SHEAFF BROCK INVESTMENT ADVISORS, LLC

RIA

CRD#: 118739

North Caldwell, NJ

Past

December 15, 2008 - December 3, 2018

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

July 24, 2008 - December 3, 2018

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

October 28, 2005 - July 24, 2008

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

September 27, 2004 - October 14, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

13D MANAGEMENT LLC

CRD#: 154009 / SEC#: 801-130908

RIA

Registered Investment Advisory firm - (8/12/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/12/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/29/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/16/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/24/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/2007

General Securities Principal Examination

Current Firm

13D MANAGEMENT LLC

CRD#: 154009 / SEC#: 801-130908

RIA

Registered Investment Advisory firm - (8/12/2024 Approved)

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Contact information

Main Address

152 West 57th Street 16th Floor, New York, NY 10019

Mailing Address

Phone number

(212) 223-2282

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

13D MANAGEMENT LLC FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 138,827,340

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 T. Massie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

FORESIDE FUND SERVICES, LLC

INNOVATIVE PORTFOLIOS LLC

ARBOR COURT CAPITAL, LLC

SHEAFF BROCK INVESTMENT ADVISORS, LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

NYLIFE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

13D MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2008

Series 63

Date: 10/8/2004

SIE

Date: 10/1/2018

Series 55

Date: 3/29/2006

Series 7

Date: 12/16/2005

Series 6

Date: 9/24/2004

Series 24

Date: 10/24/2007

Current Firm

13D MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

13D MANAGEMENT LLC

TRUST BUT VERIFY

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