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TP

Timothy L. Paulson

MARSHALL + STERLING WEALTH ADVISORS
POUGHKEEPSIE, NY 12601
Some features on this profile are disabled
CRD#: 5469169
TP

Professional summary

Timothy L Paulson, who also goes by Timothy Paulson, is a registered financial advisor currently at MARSHALL + STERLING WEALTH ADVISORS, INC. located in Poughkeepsie, New York and LPL FINANCIAL LLC located in Poughkeepsie, New York.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Timothy has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Timothy Paulson

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 Timothy L Paulson'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

May 1, 2026 - Present

MARSHALL + STERLING WEALTH ADVISORS, INC.

Office #1: 278 Mill Street Suite 301, Poughkeepsie, NY 12601
RIA
CRD#: 164345
POUGHKEEPSIE, NY
Current

April 8, 2026 - Present

LPL FINANCIAL LLC

Office #1: 278 Mill St Ste 301, Poughkeepsie, NY 12601
RIA
BD
CRD#: 6413
POUGHKEEPSIE, NY
Past

September 1, 2021 - March 4, 2026

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
NEW YORK, NY
Past

August 31, 2021 - March 4, 2026

VP DISTRIBUTORS LLC

BD
CRD#: 3036
NEW YORK, NY
Past

June 16, 2010 - September 10, 2020

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

April 14, 2008 - July 13, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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".
M+
MARSHALL + STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC. | MARSHALL + STERLING WEALTH ADVISORS, INC.

CRD#: 164345 / SEC#: 801-78688

RIA
Registered Investment Advisory firm - (11/1/2013 Approved)
New York
Registered Investment Advisory firm - (11/12/2013 Terminated)
Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)

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
New York
(4/8/2026)
IAR
New York
(5/1/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

M+
MARSHALL + STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC. | MARSHALL + STERLING WEALTH ADVISORS, INC.

CRD#: 164345 / SEC#: 801-78688

RIA
Registered Investment Advisory firm - (11/1/2013 Approved)
New York
Registered Investment Advisory firm - (11/12/2013 Terminated)
Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
278 Mill Street Suite 301, Poughkeepsie, NY 12601
Mailing Address
Phone number
(845) 554-1046
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (4/2/2025)

Regulatory assets under management

Total Number of Accounts1,598
AUM (Assets Under Management)$ 995,832,115

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.

Company Information

MARSHALL + STERLING WEALTH ADVISORS, INC.

CRD#: 164345Poughkeepsie, NY 12601

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