Paul Poznanter

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CRD#: 2951631

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 Poznanter was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1999. Paul had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 3, Series 10 and Series 9 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.

The advisor shows no other business activity.

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 22, 2018 - March 12, 2019

THE STERLING GROUP

RIA

CRD#: 111782

PASADENA, CA

Past

February 17, 2006 - February 13, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

VISTA, CA

Past

February 17, 2006 - February 13, 2019

LPL FINANCIAL LLC

CRD#: 6413

VISTA, CA

Past

January 31, 2005 - February 21, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SOLANA BEACH, CA

Past

January 31, 2005 - February 21, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

April 11, 2001 - February 1, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CARLSBAD, CA

Past

November 20, 2000 - February 1, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 27, 1999 - November 22, 2000

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

August 27, 1999 - December 8, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

THE STERLING GROUP

PASADENA FINANCIAL ADVISORS INC. | THE STERLING GROUP | STERLING GROUP WEALTH MANGEMENT, LLC | STERLING GROUP WEALTH MANAGEMENT, LLC

CRD#: 111782 / SEC#: 801-77006

RIA

Registered Investment Advisory firm - (8/10/2012 Approved)

California

Registered Investment Advisory firm - (9/11/2012 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.

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 65

Date: 12/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1999

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: 1/18/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/25/1999

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 9/17/1997

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 6/16/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/21/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

THE STERLING GROUP

PASADENA FINANCIAL ADVISORS INC. | THE STERLING GROUP | STERLING GROUP WEALTH MANGEMENT, LLC | STERLING GROUP WEALTH MANAGEMENT, LLC

CRD#: 111782 / SEC#: 801-77006

RIA

Registered Investment Advisory firm - (8/10/2012 Approved)

California

Registered Investment Advisory firm - (9/11/2012 Terminated)

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Contact information

Main Address

225 S. Lake Avenue Suite 1075, Pasadena, CA 91101

Mailing Address

Phone number

(626) 440-5995

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM (9/26/2025)

FIRM BROCHURE (9/26/2025)

Regulatory assets under management

Total Number of Accounts	808
AUM (Assets Under Management)	$ 396,607,926

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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Firm Stability Insights

Paul Poznanter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

THE STERLING GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/1999

Series 63

Date: 8/27/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2001

Series 6

Date: 8/25/1999

Series 3

Date: 9/17/1997

Series 10

Date: 6/16/2004

Series 9

Date: 5/21/2004

Current Firm

THE STERLING GROUP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE STERLING GROUP

TRUST BUT VERIFY

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