SP
Steven M. Paolini
THE ASCENT GROUP
Haddonfield, NJ 08033
Some features on this profile are disabled
CRD#: 3029364
SP
Professional summary
Steven M Paolini, who also goes by Steven Paolini, is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Haddonfield, New Jersey and OSAIC WEALTH, INC. located in Haddonfield, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Paolini
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.
1) ACITO & PAOLINI POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2007 ADDRESS: 35 Kings Highway, Haddonfield NJ 08033, United States DESCRIPTION: This is a DBA used for marketing 2) ALERA GROUP POSITION: Associate NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/20/2022 ADDRESS: 3 Parkway North, suite 500, Deerfield IL 60035, United States DESCRIPTION: continue to service existing and new clients across multiple business lines 3) THE ASCENT GROUP POSITION: associate NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/20/2020 ADDRESS: 5029 Corporate Woods, Suite 200, Virginia Beach VA 23462, United States DESCRIPTION: provide investment advice to clients in return for an advisor fee 4) HOLY CROSS PREPARATORY HIGH SCHOOL POSITION: Board Member NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2018 ADDRESS: Route 130, Delran NJ 08075, United States DESCRIPTION: Founding Board Member and current member of the Board and Student Life Chairperson 5) FIXED INSURANCE MULTIPLE CARRIERS POSITION: Broker NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 05/20/2007 ADDRESS: 35 Kings Highway, Haddonfield NJ 08033, United States DESCRIPTION: utilize this business relationship to offer fixed and index annuity outlets to my clients as well as life insurance both term and iul 6) 2520 WESLEY AVENUE POSITION: Owner NATURE: Second Home INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2022 ADDRESS: 2520 Wesley Avenue, Ocean City NJ 08226, United States DESCRIPTION: This is the address/location of my second Home beach house
CRS (Client Relationship Summary) - RIA
Click below to view Steven M Paolini'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®
NoneExperience
Current
May 20, 2021 - Present
THE ASCENT GROUP, LLC
Office #1: 35 Kings Highway East, Haddonfield, NJ 08033RIA
CRD#: 314424
Haddonfield, NJ
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 35 Kings Highway East, Haddonfield, NJ 08033RIA
BD
CRD#: 23131
Haddonfield, NJ
Past
February 2, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Haddonfield, NJ
Past
January 4, 2017 - November 16, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
HADDONFIELD, NJ
Past
June 30, 2006 - February 1, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
HADDONFIELD, NJ
Past
April 7, 2005 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
HADDONFIELD, NJ
Past
April 21, 2003 - April 20, 2005
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 30, 1998 - February 28, 2003
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, 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".
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(8/23/2024)
RR
Florida(8/23/2024)
RR
Maryland(8/23/2024)
IAR
New Jersey(5/20/2021)
RR
New Jersey(8/23/2024)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
RR
Texas(8/23/2024)
RR
Virginia(7/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
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Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
