Paul J. Wechsler
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 Joseph Wechsler III, who also goes by Paul Joseph Wechsler, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 7 firms and has passed the Series 63, SIE, Series 62, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2023 - February 11, 2026
CETERA INVESTMENT ADVISERS LLC
August 10, 2023 - February 11, 2026
CETERA WEALTH SERVICES, LLC
February 29, 2012 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
May 23, 2006 - December 31, 2008
SECURIAN FINANCIAL SERVICES, INC.
June 6, 1995 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
May 29, 1991 - October 19, 1992
HOME LIFE INSURANCE COMPANY
May 29, 1991 - June 1, 1995
WS GRIFFITH SECURITIES, INC.
January 13, 1986 - April 10, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 26, 1985 - April 10, 1991
ROBERT W. BAIRD & CO. INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 62
Date: 12/21/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
