Michael D. Carlucci

PWA FINANCIAL

Newtown, PA 18940

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CRD#: 2665833

Professional summary

Michael David Carlucci is a registered financial advisor currently at PWA FINANCIAL located in Newtown, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Michael has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Carlucci'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

January 14, 2013 - Present

PWA FINANCIAL

Office #1: 503 E Washington Ave. Suite 1b, Newtown, PA 18940

RIA

CRD#: 165369

Newtown, PA

Past

September 19, 2006 - January 15, 2013

CORESTATES CAPITAL ADVISORS, LLC

RIA

CRD#: 137697

NEWTOWN, PA

Past

July 1, 2003 - September 18, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

YARDLEY, PA

Past

November 22, 1995 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

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".

PWA FINANCIAL

PENN WEALTH ADVISORS LLC | PWA FINANCIAL | PENN WEALTH ADVISORS, LLC

CRD#: 165369 / SEC#: 801-119127

RIA

Registered Investment Advisory firm - (8/17/2020 Approved)

Florida

Registered Investment Advisory firm - (9/4/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - (9/4/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/4/2020 Terminated)

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.

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

Florida
(10/24/2018)

IAR

New Jersey
(10/16/2014)

IAR

Pennsylvania
(1/14/2013)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1995

General Securities Representative Examination

Current Firm

PWA FINANCIAL

PENN WEALTH ADVISORS LLC | PWA FINANCIAL | PENN WEALTH ADVISORS, LLC

CRD#: 165369 / SEC#: 801-119127

RIA

Registered Investment Advisory firm - (8/17/2020 Approved)

Florida

Registered Investment Advisory firm - (9/4/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - (9/4/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/4/2020 Terminated)

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Contact information

Main Address

503 E Washington Ave. Suite 1b, Newtown, PA 18940

Mailing Address

Phone number

(215) 710-0737

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/28/2025)

Regulatory assets under management

Total Number of Accounts	1,012
AUM (Assets Under Management)	$ 267,948,771

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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Michael D. Carlucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Carlucci's CRS (Customer Relationship Summary).

Certified licenses

Experience

PWA FINANCIAL

CORESTATES CAPITAL ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PWA FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1995

Series 63

Date: 11/30/1995

Series 7

Date: 11/21/1995

Current Firm

PWA FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PWA FINANCIAL

TRUST BUT VERIFY

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