AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
PB

Paul Bracaglia

CRD# 2413768·Registered 1993 - 2014
Previously Registered: Being a previously registered professional could mean that Paul 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.

Professional Summary

Paul Bracaglia was a registered financial advisor. Paul was a previously registered financial professional and started their career in finance 1993 - 2014. Paul had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 53 and Series 24 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

33 years in the financial services industry

Current & Past Employments

EDI FINANCIAL, INC.·CRD# 15699
BD
Irving, TX
April 1, 2013 - December 31, 2014
NEW ENGLAND SECURITIES·CRD# 615
BD
Dallas, TX
October 6, 2008 - November 20, 2012
NATIONWIDE SECURITIES, LLC·CRD# 11173
BD
Allen, TX
May 27, 2005 - October 3, 2008
HIGH MARK SECURITIES, INC.·CRD# 42467
BD
Lakeland, FL
February 14, 2003 - September 22, 2004
MOMENTUM INDEPENDENT NETWORK INC.·CRD# 17587
BD
Dallas, TX
June 1, 2001 - February 28, 2003
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
September 10, 1996 - May 16, 2001
HARRIS SECURITIES, INC.·CRD# 16587
BD
Dallas, TX
July 14, 1995 - July 24, 1996
DICKINSON & CO.·CRD# 689
BD
Des Moines, IA
November 24, 1993 - August 28, 1995

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

EF
EDI FINANCIAL, INC.

EDI FINANCIAL, INC. | R.R. ORR & ASSOCIATES INC. | HIBLER & ORR INC.

CRD#: 15699 / SEC#: 8-32566
BD
Terminated by SEC on 02/03/2017

Contact Information

Established

Texas since 11/05/1984

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
PRINZ, MARTIN WILLIAMPRESIDENT, DIRECTOR, CSO, CCO1330601
DAILY, JAY PATRICKSHAREHOLDER1471899
JOHN, VARKEYFINOP4530162

Disclosures

Regulatory Event

11

Arbitration

4

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

The advisor shows no other business activity.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2014About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Sep 1996About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Nov 1993About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Nov 2009About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Aug 2009About the Series 24 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

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

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
PB
Follow Paul
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required