Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PAUL RICHARD MOODY
CRD#: 1184243
IA
Investment Adviser
B
Broker
MCDONALD PARTNERS LLCCRD#: 135414 109 WATER ST. SUITE 1B
BOYNE CITY, MI 49712
Registration History
1985199019952000200520102015202020252 FIRMS2015 - Present (9 years)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)1997 - 2008 (11 years)BPIMCO ADVISORS DISTRIBUTION CO... (CRD# 25567)1990 - 1997 (6 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1989 - 1995 (6 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1983 - 1995 (11 years)BCRICO SECURITIES CORPORATION (CRD# 11286)1988 - 1989 (<1 year)BMANLEY, BENNETT, MCDONALD & CO (CRD# 551)1983 - 1984 (<1 year)IAOPTIMAL CAPITAL ADVISORS, LLC (CRD# 144719)2010 - 2016 (6 years)IAPUTNAM INVESTMENT MANAGEMENT, LLC (CRD# 106629)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Florida 5/27/2015
B
Michigan 8/16/2018
IA
Michigan 4/15/2015
B
Ohio 5/15/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
MCDONALD PARTNERS LLC (CRD#:135414)
109 WATER ST. SUITE 1B, BOYNE CITY, MI 49712
109 Water Street Suite 1B, Boyne City, MI 49712
Registered with this firm since 5/22/2015
IA
MCDONALD PARTNERS LLC (CRD#:135414)
109 WATER ST. SUITE 1B, BOYNE CITY, MI 49712
109 Water Street Suite 1B, Boyne City, MI 49712
Registered with this firm since 4/8/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/21/2010 - 12/01/2016 OPTIMAL CAPITAL ADVISORS, LLC (CRD#:144719) TRAVERSE CITY, MI
IA
 09/29/2008 - 10/06/2008 PUTNAM INVESTMENT MANAGEMENT, LLC (CRD#:106629) BOSTON, MA
B
 02/28/1997 - 10/06/2008 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) BOSTON, MA
B
 10/11/1990 - 01/10/1997 PIMCO ADVISORS DISTRIBUTION COMPANY (CRD#:25567) NEW YORK, NY
B
 06/29/1989 - 08/10/1995 THOMSON MCKINNON SECURITIES INC. (CRD#:829)
B
 11/25/1983 - 08/10/1995 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
B
 07/29/1988 - 05/16/1989 CRICO SECURITIES CORPORATION (CRD#:11286)
B
 10/20/1983 - 07/17/1984 MANLEY, BENNETT, MCDONALD & CO (CRD#:551)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.