Paul J. Miguel
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 Joseph Miguel, CFP®, CIMA®, who also goes by Paul J. Miguel, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2006. Paul had worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE 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
Experience
May 6, 2021 - June 29, 2021
VANGUARD ADVISERS, INC.
April 6, 2021 - June 29, 2021
VANGUARD MARKETING CORPORATION
February 11, 2019 - February 10, 2020
PRINCETON GLOBAL ASSET MANAGEMENT LLC
October 2, 2017 - October 17, 2018
PLANNING SOLUTIONS GROUP, LLC
November 7, 2014 - May 9, 2017
CREATIVE PLANNING
June 4, 2012 - November 1, 2014
MERCER GLOBAL ADVISORS INC.
February 28, 2007 - April 3, 2012
TD AMERITRADE, INC.
February 28, 2007 - April 3, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 23, 2007 - April 3, 2012
TD AMERITRADE, INC.
February 22, 2006 - November 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2006 - November 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
Series 7TO
Date: 4/6/2021
General Securities Representative ExaminationCurrent Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
