Paul A. Bachtold
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 Axtell Bachtold was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1998. Paul had worked at 19 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 31, Series 7, Series 10, Series 14, Series 9, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2024 - June 28, 2024
RWA WEALTH PARTNERS
August 10, 2017 - July 26, 2018
HIGHTOWER PRIVATE CLIENT
January 4, 2016 - November 18, 2022
FORWARD SECURITIES, LLC
July 9, 2015 - January 3, 2023
FORWARD MANAGEMENT, LLC
July 20, 2011 - February 28, 2023
SUSTAINABLE WOODLANDS PARTNERS, LLC
February 4, 2011 - January 3, 2023
SALIENT CAPITAL ADVISORS, LLC
December 22, 2010 - October 27, 2015
INTEGRITY CAPITAL, LLC
August 11, 2010 - January 2, 2014
GHE ADVISERS, L.P.
August 11, 2010 - March 1, 2021
CYPRESS CREEK PARTNERS
August 11, 2010 - November 18, 2022
SALIENT ADVISORS, L.P.
August 2, 2010 - December 31, 2015
SALIENT CAPITAL L.P.
October 23, 2009 - July 1, 2010
CHICAGO INVESTMENT GROUP, LLC
October 20, 2009 - July 1, 2010
CHICAGO INVESTMENT GROUP ADVISORS, LLC
September 14, 2005 - March 3, 2008
BLACKROCK FUND ADVISORS
September 14, 2005 - March 3, 2008
BLACKROCK EXECUTION SERVICES
April 7, 2004 - August 31, 2005
WELLS FARGO INVESTMENTS, LLC
April 7, 2004 - August 31, 2005
WELLS FARGO INVESTMENTS, LLC
October 14, 2002 - April 14, 2004
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 2, 2001 - November 29, 2002
WELLS FARGO INVESTMENTS, LLC
April 10, 2000 - January 2, 2003
WELLS FARGO INVESTMENTS, LLC
March 7, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 4, 1998 - January 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
RWA WEALTH PARTNERS
CRD#: 156984 / SEC#: 801-73098
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 3/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RWA WEALTH PARTNERS
CRD#: 156984 / SEC#: 801-73098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,490 |
| AUM (Assets Under Management) | $ 17,255,241,142 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 09/29/2023 | ||
| 12/09/2022 |
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.
