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Gregory B. Paine

CAPITAL MANAGEMENT ASSOCIATES
Faribault, MN 55021
Some features on this profile are disabled
CRD#: 5575617
GP

Professional summary

Gregory Brian Paine, who also goes by Gregory Paine, is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Faribault, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Faribault, Minnesota.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Gregory has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gregory Paine

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.
1.) SELF PROPROETOR/PARTNER WITH SPOUSE, JESSICA E PAINE. ONE RENTAL PROPERTIES - 220 FRINK FARIBAULT MN 55021 STARTED IN 2004. VERY FEW HOURS DOVOTED TO RENTAL PROPERTIES DURING SECURITIES TRADING HOURS, < 5 HRS PER MONTH. WE OWN THE PROPERTY TOGETHER AND MANAGE THEM ON THE WEEKENDS AND NIGHTS. 2. SELF PROPRIETOR/PARTNER - OWN ONE RENTAL PROPERTY WITH BROTHER - 412 HERITAGE PLACE FARIBAULT, MN 55021 - 1 HOUR PER MONTH. 3. J&P ENTERPRISE LLC - PARTNER, OWNS COMMERICAL BUILDING - 3701 HWY 60 WEST FARIBAULT MN 55021 1 HOUR PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Brian Paine's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 1, 2022 - Present

CAPITAL MANAGEMENT ASSOCIATES INC

Office #1: 3701 Hwy 60 West, Faribault, MN 55021
RIA
CRD#: 105010
Faribault, MN
Current

April 1, 2022 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 3701 Hwy 60 West, Faribault, MN 55021
BD
CRD#: 10579
Faribault, MN
Past

November 4, 2013 - April 4, 2022

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
Faribault, MN
Past

November 28, 2011 - October 30, 2013

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
Faribault, MN
Past

November 25, 2011 - April 4, 2022

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
Faribault, MN
Past

April 16, 2010 - December 12, 2011

MORGAN STANLEY

RIA
CRD#: 149777
ROCHESTER, MN
Past

April 16, 2010 - December 12, 2011

MORGAN STANLEY

BD
CRD#: 149777
ROCHESTER, MN
Past

October 16, 2008 - April 19, 2010

EDWARD JONES

RIA
CRD#: 250
OWATONNA, MN
Past

September 18, 2008 - April 19, 2010

EDWARD JONES

BD
CRD#: 250
OWATONNA, MN

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".
CM
CAPITAL MANAGEMENT ASSOCIATES INC
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA
Registered Investment Advisory firm - (1/2/1990 Approved)

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

IAR
Arizona
(4/27/2022)
RR
Colorado
(4/1/2022)
RR
Florida
(4/1/2022)
IAR
Florida
(5/5/2022)
IAR
Illinois
(3/7/2024)
IAR
Iowa
(4/1/2022)
IAR
Michigan
(4/5/2022)
RR
Minnesota
(4/1/2022)
IAR
Minnesota
(4/1/2022)
IAR
Texas
(4/4/2022)
RR
Wisconsin
(4/1/2022)
IAR
Wisconsin
(4/5/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/2/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT ASSOCIATES INC
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA
Registered Investment Advisory firm - (1/2/1990 Approved)
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Contact information

Main Address
7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120
Mailing Address
Phone number
(952) 893-1200
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART IIA 3.31.25 (3/14/2025)

Regulatory assets under management

Total Number of Accounts932
AUM (Assets Under Management)$ 1,627,864,626

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.

Company Information

CAPITAL MANAGEMENT ASSOCIATES INC

CRD#: 105010Faribault, MN 55021

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