John M. Pauly
Professional summary
John Maxwell Pauly, who also goes by John Pauly, John M Pauly, John Maxwell Pauly, Max Pauly, is a registered financial professional currently at THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.
John is registered as a RR (Registered Representative) and started their career in finance in 2018. John has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Maxwell Pauly's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2026 - Present
THORNBURG SECURITIES LLC
Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506April 23, 2026 - May 8, 2026
FEF DISTRIBUTORS, LLC
September 13, 2018 - April 21, 2026
FORESIDE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/22/2026)
Exams
FINRA
Current Firm
THORNBURG SECURITIES LLC
CRD#: 14857 / SEC#: , 8-31249
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THORNBURG INVESTMENT MANAGEMENT INC | SOLE MEMBER | 106357 |
| BHATT, NIMISH SANJAY | TREASURER, PRINCIPAL FINANCIAL OFFICER | 2789977 |
| BROWNELL, JESSE RYAN | GLOBAL HEAD OF DISTRIBUTION | 5511918 |
| CALLOW, AMY | SECRETARY | |
| HOLLOWAY, CURTIS EDWARD | PRINCIPAL OPERATIONS OFFICER | 5130594 |
| OLEXSAK, RONALD | CHIEF COMPLIANCE OFFICER | 2858575 |
Red Flags
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