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Detailed Report
PAUL MA
CRD#: 4237683
IA
Investment Adviser
B
Broker
FIDELITY INSTITUTIONAL WEALTH ADVISER LLCCRD#: 301896 500 Salem Street
SMITHFIELD, RI 02917-1288
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 500 SALEM STREET
SMITHFIELD, RI 02917
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)IAFIDELITY INSTITUTIONAL WEALTH ... (CRD# 301896)2020 - Present (4 years)BFIDELITY DISTRIBUTORS COMPANY LLC (CRD# 17507)2015 - Present (9 years)BQUAD CAPITAL, LLC (CRD# 148927)2013 - 2014 (1 year)BPUTNAM RETAIL MANAGEMENT, INC. (CRD# 7325)2000 - 2000 (<1 year)
License(s)

State Registrations

B
Alabama 9/2/2015
B
Nebraska 9/2/2015
B
Alaska 9/2/2015
B
Nevada 9/2/2015
B
Arizona 9/22/2015
B
New Hampshire 9/2/2015
B
Arkansas 9/2/2015
B
New Jersey 8/31/2015
B
California 9/2/2015
IA
New Jersey 1/17/2025
B
Colorado 8/31/2015
B
New Mexico 9/2/2015
B
Connecticut 8/31/2015
B
New York 9/2/2015
B
Delaware 9/2/2015
B
North Carolina 9/3/2015
B
District of Columbia 8/31/2015
B
North Dakota 9/2/2015
B
Florida 8/31/2015
B
Ohio 8/31/2015
B
Georgia 9/2/2015
B
Oklahoma 9/2/2015
B
Hawaii 9/2/2015
B
Oregon 9/2/2015
B
Idaho 8/31/2015
B
Pennsylvania 9/2/2015
B
Illinois 8/31/2015
B
Puerto Rico 9/15/2015
B
Indiana 9/2/2015
B
Rhode Island 9/2/2015
B
Iowa 9/2/2015
IA
Rhode Island 9/29/2020
B
Kansas 9/2/2015
B
South Carolina 9/2/2015
B
Kentucky 9/2/2015
B
South Dakota 9/2/2015
B
Louisiana 8/31/2015
B
Tennessee 9/2/2015
B
Maine 8/31/2015
B
Texas 9/2/2015
B
Maryland 8/31/2015
IA
Texas 9/29/2020
B
Massachusetts 9/2/2015
B
Utah 9/2/2015
IA
Massachusetts 10/6/2020
B
Vermont 8/31/2015
B
Michigan 9/2/2015
B
Virginia 9/2/2015
B
Minnesota 9/2/2015
B
Washington 9/2/2015
B
Mississippi 9/2/2015
B
West Virginia 9/2/2015
B
Missouri 9/2/2015
B
Wisconsin 9/2/2015
B
Montana 9/2/2015
B
Wyoming 9/2/2015

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 MEMX LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
500 SALEM STREET, SMITHFIELD, RI 02917
NORTH ATTLEBORO, MA
Registered with this firm since 6/14/2022
B
NATIONAL FINANCIAL SERVICES LLC (CRD#:13041)
500 SALEM STREET, SMITHFIELD, RI 02917
NORTH ATTLEBORO, MA
Registered with this firm since 6/13/2022
IA
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC (CRD#:301896)
500 Salem Street, SMITHFIELD, RI 02917-1288
NORTH ATTLEBORO, MA
Registered with this firm since 9/29/2020
B
FIDELITY DISTRIBUTORS COMPANY LLC (CRD#:17507)
500 SALEM STREET, SMITHFIELD, RI 02917
NORTH ATTLEBORO, MA
Registered with this firm since 8/31/2015
Previous Registration(s)
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B
 03/04/2013 - 07/30/2014 QUAD CAPITAL, LLC (CRD#:148927) NEW YORK, NY
B
 08/08/2000 - 08/31/2000 PUTNAM RETAIL MANAGEMENT, INC. (CRD#:7325) BOSTON, MA
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.