Paul J. Harteg
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 Jeffrey Harteg, CFP® was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2022 - June 1, 2023
FORVIS MAZARS WEALTH ADVISORS, LLC
January 16, 2017 - August 24, 2022
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
March 23, 2004 - December 31, 2016
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
April 25, 2003 - October 8, 2004
CRISP HUGHES EVANS FINANCIAL SERVICES
January 27, 2003 - July 15, 2004
CAP PRO BROKERAGE SERVICES, INC.
May 15, 1992 - January 17, 2003
CHARLES SCHWAB & CO., INC.
October 1, 1987 - April 23, 1988
CENTURY CAPITAL CORP. OF SOUTH CAROLINA
July 6, 1987 - September 28, 1987
ESSEX COMPANY
January 21, 1986 - July 14, 1987
UNITED FINANCIAL INVESTMENTS, INC.
September 20, 1984 - January 21, 1986
EDWARD JONES
Primary Firm SEC Registration
FORVIS MAZARS WEALTH ADVISORS, LLC
CRD#: 110905 / SEC#: 801-56928
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 8
Date: 12/11/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORVIS MAZARS WEALTH ADVISORS, LLC
CRD#: 110905 / SEC#: 801-56928
Contact information
SEC notice filing (41 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,227 |
| AUM (Assets Under Management) | $ 9,751,986,659 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 09/18/2024 | ||
| 01/23/2024 | ||
| 11/21/2022 |
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.
