Paul J. Pittman
WEALTHPLAN INVESTMENT MANAGEMENT LLC
Wilmington, NC
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CRD#: 2570402
Professional summary
Paul James Pittman, CFP® is a registered financial advisor currently at WEALTHPLAN INVESTMENT MANAGEMENT LLC located in Wilmington, North Carolina.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Paul has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
**INSURANCE POSITION: Insurance Sales NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2003 ADDRESS: 224 JOSHUAS WAY SOUTHPORT, NC 28461, United States DESCRIPTION: Insurance **WEALTHPLAN PARTNERS POSITION: Advisor NATURE: I am affiliated with an RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2015 ADDRESS: 224 JOSHUAS WAY SOUTHPORT, NC 28461, United States DESCRIPTION: RIA **CALYPSOUL, INC. POSITION: Owner NATURE: Clothing Brand INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/02/2005 ADDRESS: 224 Joshuas Way, Southport NC 28461, United States DESCRIPTION: Clothing brand **PAUL PITTMAN POSITION: Speaker NATURE: Public Speaker/ Corporate Comedian INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1994 ADDRESS: 224 JOSHUAS WAY SOUTHPORT, NC 28461, United States DESCRIPTION: Speaker/Entertainer **THE PREFERRED CLIENT GROUP POSITION: President and Managing Director NATURE: This is my DBA name for my practice in NC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/01/2005 ADDRESS: 224 JOSHUAS WAY SOUTHPORT, NC 28461, United States DESCRIPTION: Just my DBA name
CRS (Client Relationship Summary) - RIA
Click below to view Paul James Pittman's 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®
CFP®
Start date: 2006
Experience
Current
December 18, 2024 - Present
WEALTHPLAN INVESTMENT MANAGEMENT LLC
RIA
CRD#: 311364
Wilmington, NC
Past
June 14, 2024 - December 17, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
SOUTHPORT, NC
Past
July 15, 2020 - December 16, 2024
WEALTHPLAN PARTNERS
RIA
CRD#: 305026
Southport, NC
Past
November 8, 2016 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SOUTHPORT, NC
Past
July 2, 2015 - July 10, 2020
WEALTHPLAN PARTNERS
RIA
CRD#: 158935
RALEIGH, NC
Past
February 25, 2003 - November 10, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
CARY, NC
Past
February 21, 2003 - July 1, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
CARY, NC
Past
July 8, 2002 - March 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RALEIGH, NC
Past
June 15, 2002 - March 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 28, 1999 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
February 22, 1995 - May 24, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
WI
WEALTHPLAN INVESTMENT MANAGEMENT LLC
FELTZ WEALTHPLAN | WEALTHPLAN PARTNERS - THE COBLE & MCCUNE TEAM | WEALTHPLAN INVESTMENT MANAGEMENT LLC | WEALTHPLAN GROUP PACIFIC NORTHWEST | WEALTHPLAN GROUP COBLE MCCUNE TEAM | WEALTHPLAN GROUP | VIZIONARY WEALTH MANAGEMENT | THE PREFERRED CLIENT GROUP | OGARD PRIVATE WEALTH, LLC
CRD#: 311364 / SEC#: 801-120004
RIA
Registered Investment Advisory firm - (12/18/2020 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.Highlighted states indicate IAR registrations
IAR
North Carolina(12/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WI
WEALTHPLAN INVESTMENT MANAGEMENT LLC
FELTZ WEALTHPLAN | WEALTHPLAN PARTNERS - THE COBLE & MCCUNE TEAM | WEALTHPLAN INVESTMENT MANAGEMENT LLC | WEALTHPLAN GROUP PACIFIC NORTHWEST | WEALTHPLAN GROUP COBLE MCCUNE TEAM | WEALTHPLAN GROUP | VIZIONARY WEALTH MANAGEMENT | THE PREFERRED CLIENT GROUP | OGARD PRIVATE WEALTH, LLC
CRD#: 311364 / SEC#: 801-120004
RIA
Registered Investment Advisory firm - (12/18/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
101 S 108th Ave 3rd Floor, Omaha, NE 68154
Mailing Address
Phone number
(402) 691-0200
Established
Firm type
Fiscal year end
# of Employees
40
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,957 |
| AUM (Assets Under Management) | $ 1,574,375,590 |
Red Flags
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