Paul A. Piontkowski
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 Anthony Piontkowski, who also goes by Paul A Piontkowski, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 9 firms and has passed the Series 65, Series 63, Series 7, 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
May 10, 2016 - August 17, 2016
AE WEALTH MANAGEMENT, LLC
September 24, 2015 - May 6, 2016
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
January 24, 2007 - April 13, 2009
MML INVESTORS SERVICES, LLC
January 12, 2007 - April 13, 2009
MML INVESTORS SERVICES, LLC
April 22, 2005 - November 2, 2006
FORESTERS EQUITY SERVICES, INC.
March 29, 2004 - April 21, 2005
AMERITAS INVESTMENT COMPANY, LLC
February 18, 2004 - April 21, 2005
AMERITAS INVESTMENT COMPANY, LLC
September 16, 2002 - February 12, 2004
CETERA INVESTMENT ADVISERS LLC
January 29, 2002 - February 12, 2004
CAPITAL BROKERAGE CORPORATION
May 19, 1997 - February 1, 2002
WADDELL & REED
July 18, 1986 - June 5, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
Current Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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