Paul J. Faulkner

ALIGHT FINANCIAL ADVISORS

CHARLOTTE, NC 28269

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CRD#: 1904004

Professional summary

Paul Joseph Faulkner is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Charlotte, North Carolina and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Paul has worked at 11 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1996 TO PRESENT: ICE HOCKEY AND SKATING INSTRUCTOR. INDEPENDENT CONTRACTOR AT LOCAL RINKS PROVIDING INDIVIDUAL AND GROUP HOCKEY AND SKATING INSTRUCTION. APPROXIMATELY 5 HOURS A WEEK, NON-INVESTMENT RELATED, ALL OUTSIDE OF NORMAL TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joseph Faulkner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

July 19, 2012 - Present

ALIGHT FINANCIAL ADVISORS, LLC

Office #1: 9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

RIA

CRD#: 158744

CHARLOTTE, NC

Current

October 29, 2013 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269

CRD#: 36509

CHARLOTTE, NC

Past

August 16, 2011 - January 20, 2012

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WEST HARTFORD, CT

Past

August 11, 2011 - January 19, 2012

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WEST HARTFORD, CT

Past

March 24, 2009 - July 29, 2011

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

HARTFORD, CT

Past

February 18, 2009 - July 29, 2011

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

HARTFORD, CT

Past

February 7, 2007 - February 17, 2009

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

December 7, 2006 - December 12, 2008

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

March 13, 2006 - December 7, 2006

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

HARTFORD, CT

Past

December 6, 2004 - October 27, 2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

November 18, 2002 - December 3, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

RIA

CRD#: 40596

HARTFORD, CT

Past

August 28, 2002 - December 6, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

January 8, 1998 - October 24, 2001

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

October 2, 1992 - December 31, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

October 5, 1989 - September 30, 1992

CIGNA CAPITAL BROKERAGE, INC.

CRD#: 21387

Past

January 18, 1989 - October 4, 1989

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Connecticut
(7/19/2012)

Connecticut
(10/29/2013)

North Carolina
(10/29/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/15/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/17/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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Contact information

Main Address

9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

Mailing Address

Phone number

(866) 560-7256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)

AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	197,089
AUM (Assets Under Management)	$ 30,882,928,556

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.

Contact information

xxxxx@xxxx.xxx

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Paul J. Faulkner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joseph Faulkner's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALIGHT FINANCIAL SOLUTIONS, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

VOYA RETIREMENT ADVISORS, LLC

VOYA RETIREMENT ADVISORS, LLC

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CIGNA CAPITAL BROKERAGE, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

ALIGHT FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2009

Series 66

Date: 11/15/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/10/2002

Series 6

Date: 1/17/1989

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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