Paul E. Lightfoot

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CRD#: 2564091

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 Edward Lightfoot was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1995. Paul had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 10 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.

GENERAL LINES OF ISURANCE VARIABLE ANNUITIES LIFE LIFE AND HEALTH 10-15% TIME SPENT

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®

None

Experience

Past

February 6, 2012 - June 14, 2024

AMERICAN WEALTH MANAGEMENT, INC.

RIA

CRD#: 25536

PALM HARBOR, FL

Past

January 27, 2012 - June 14, 2024

AMERICAN WEALTH MANAGEMENT, INC.

CRD#: 25536

PALM HARBOR, FL

Past

May 8, 2006 - February 7, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CLEARWATER, FL

Past

April 27, 2006 - February 7, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CLEARWATER, FL

Past

November 16, 2004 - April 25, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLEARWATER, FL

Past

October 29, 2004 - April 25, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLEARWATER, FL

Past

July 9, 2003 - June 28, 2004

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

July 24, 2001 - February 6, 2003

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

July 15, 1999 - July 11, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 7, 1995 - July 26, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 7, 1995 - July 26, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

AMERICAN WEALTH MANAGEMENT, INC.

CRD#: 25536 / SEC#: 801-66163, 8-41807

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/28/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Terminated by SEC on 12/02/2024

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 66

Date: 11/12/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/4/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/21/2007

General Securities Sales Supervisor - General Module Examination

Current Firm

AMERICAN WEALTH MANAGEMENT, INC.

CRD#: 25536 / SEC#: 801-66163, 8-41807

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/28/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Terminated by SEC on 12/02/2024

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Contact information

Main Address

3480 Preston Ridge Road Suite 500, Alpharetta, GA 30005

Mailing Address

Phone number

(770) 392-8741

Established

Georgia since 11/21/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMERICAN WEALTH MANAGEMENT, INC. (10/1/2025)

Direct owners and executive officers

Name	Position	CRD#
BORZELLO, JEROME AUGUST	CHIEF COMPLIANCE OFFICER/PRES./CFO	801913
BORZELLO, GAVIN MATTHEW	CHIEF AML OFFICER	3242246

Regulatory assets under management

Total Number of Accounts	1,219
AUM (Assets Under Management)	$ 309,865,000

Disclosures

Regulatory Event	6
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Paul E. Lightfoot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN WEALTH MANAGEMENT, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST ALLIED SECURITIES, INC.

LASALLE ST SECURITIES, L.L.C.

PRUDENTIAL EQUITY GROUP, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AMERICAN WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/12/2004

Series 65

Date: 8/13/1999

Series 63

Date: 2/18/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/30/1999

Series 6

Date: 1/4/1995

Series 10

Date: 12/21/2007

Current Firm

AMERICAN WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERICAN WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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