Paul T. Massie
Professional summary
Paul Thomas Massie, who also goes by Paul Massie, is a registered financial advisor currently at 13D MANAGEMENT LLC located in New York, New York and FORESIDE FINANCIAL SERVICES, LLC located in New York, New York.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Paul has 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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Paul Thomas Massie's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2024 - Present
13D MANAGEMENT LLC
Office #1: 152 West 57th Street 16th Floor, New York, NY 10019March 29, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 152 West 57th Street, New York, NY 10019February 2, 2022 - January 30, 2023
FORESIDE FUND SERVICES, LLC
January 13, 2021 - January 10, 2023
INNOVATIVE PORTFOLIOS LLC
November 13, 2020 - November 30, 2021
ARBOR COURT CAPITAL, LLC
April 8, 2020 - November 30, 2021
SHEAFF BROCK INVESTMENT ADVISORS, LLC
December 15, 2008 - December 3, 2018
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
July 24, 2008 - December 3, 2018
NYLIFE DISTRIBUTORS LLC
October 28, 2005 - July 24, 2008
NYLIFE SECURITIES LLC
September 27, 2004 - October 14, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
13D MANAGEMENT LLC
CRD#: 154009 / SEC#: 801-130908
State Registrations and Notice Filings
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Exams
Series 55
Date: 3/29/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
13D MANAGEMENT LLC
CRD#: 154009 / SEC#: 801-130908
Contact information
SEC notice filing (1 States and Territories)
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.
