Matthew J. Paolucci
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.
Matthew John Paolucci was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1993. Matthew had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2016 - March 11, 2019
CUNA BROKERAGE SERVICES, INC.
November 3, 2016 - March 11, 2019
CUNA BROKERAGE SERVICES, INC.
July 8, 2013 - October 19, 2016
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
July 8, 2013 - October 19, 2016
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
January 14, 2009 - July 10, 2013
A & I WEALTH MANAGEMENT
August 22, 2007 - December 31, 2009
GENEOS WEALTH MANAGEMENT, INC.
August 22, 2007 - July 5, 2013
GENEOS WEALTH MANAGEMENT, INC.
May 28, 2004 - August 10, 2007
VALIC FINANCIAL ADVISORS, INC.
May 28, 2004 - August 10, 2007
VALIC FINANCIAL ADVISORS, INC.
January 9, 2002 - June 3, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 2001 - June 3, 2004
IDS LIFE INSURANCE COMPANY
December 19, 2001 - June 3, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
July 30, 1993 - January 29, 1996
JANUS HENDERSON DISTRIBUTORS US LLC
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
