Paul J. Serwinek

Some features on this profile are disabled

CRD#: 1482271

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 John Serwinek, AIF® was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

One of 2 directors of the Paul J. and Marlene C. Serwinek Foundation. The organization is an educational foundation that contributes to various colleges with scholarship funds. Start date: 7/19/04, approx. 1 hr/mo, none during mkt. hrs.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

January 5, 2023 - January 2, 2024

PATHWORKS FINANCIAL, INC.

RIA

CRD#: 138393

Novi, MI

Past

August 9, 2021 - January 4, 2023

PATHWORKS FINANCIAL

RIA

CRD#: 313668

Novi, MI

Past

June 21, 2021 - August 11, 2021

PATHWORKS FINANCIAL, INC.

RIA

CRD#: 138393

Belmont, NC

Past

August 1, 2017 - June 1, 2021

SPC

RIA

CRD#: 110692

Milford, MI

Past

August 1, 2017 - June 1, 2021

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Milford, MI

Past

September 10, 2015 - August 1, 2017

MICHIGAN ADVISORS, INC

RIA

CRD#: 124064

MILFORD, MI

Past

July 29, 2013 - August 1, 2017

BROADSTONE SECURITIES

CRD#: 101600

ALBANY, NY

Past

October 6, 1999 - July 25, 2013

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

MILFORD, MI

Past

July 11, 1997 - October 13, 1999

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 25, 1993 - May 24, 1996

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

October 17, 1991 - December 11, 1992

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

April 25, 1986 - September 17, 1990

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PATHWORKS FINANCIAL, INC.

CRD#: 138393 / SEC#: 801-120476

RIA

Registered Investment Advisory firm - (3/10/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/11/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/20/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Current Firm

PATHWORKS FINANCIAL, INC.

CRD#: 138393 / SEC#: 801-120476

RIA

Registered Investment Advisory firm - (3/10/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/11/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

43155 Main Street Suite 212, Novi, MI 48375

Mailing Address

Phone number

(248) 946-4515

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PATHWORKS FORM ADV PART 2A (JANUARY 23, 2025) (3/25/2025)

PATHWORKS WRAP FEE BROCHURE (JANUARY 23, 2025) (1/24/2025)

Regulatory assets under management

Total Number of Accounts	1,086
AUM (Assets Under Management)	$ 236,868,620

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul J. Serwinek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PATHWORKS FINANCIAL

PATHWORKS FINANCIAL, INC.

SPC

SIGMA FINANCIAL CORPORATION

MICHIGAN ADVISORS, INC

BROADSTONE SECURITIES

SIGNATOR FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

PATHWORKS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/2015

Series 63

Date: 5/9/1986

Series 7TO

Date: 10/20/2022

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

Current Firm

PATHWORKS FINANCIAL, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATHWORKS FINANCIAL, INC.

TRUST BUT VERIFY

Similar Advisors