Arek D. Puzia
PATHWISE
Walnut Creek, CA 94596
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CRD#: 5706618
Professional summary
Arek D Puzia MR., CFP®, who also goes by Arek D Puzia, Arkadiusz Damian Puzia, is a registered financial advisor currently at PATHWISE located in Walnut Creek, California.
Arek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Arek has worked at 3 firms and has passed the Series 65, Series 63 and Series 79 exams.
Question & Answer
What are your service offerings?
Tax Planning
Investment Planning
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Retirement Planning
Do you have an area of expertise or specialization?
Alternative or Private Investm...
AUM
Baby Boomers
Business Owners
Charitable Giving
College/Education Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Arek D Puzia | Arkadiusz Damian Puzia
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.
Mr. Puzia is a Professor at Diablo Valley College, Investment Related -Educational - 321 Golf Club Road, Pleasant Hill CA 94523 as of 1/1/2017.Mr. Puzia spends approximately 25 hours a month and devotes less than an hour during securities trading hours. Mr. Puzia teaches Financial Accounting and Managerial Accounting.
CRS (Client Relationship Summary) - RIA
Click below to view Arek D Puzia MR.'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®
CFP®
Start date: 2016
Experience
Current
February 20, 2015 - Present
PATHWISE
Office #1: 1211 Newell Ave Suite 130, Walnut Creek, CA 94596RIA
CRD#: 174215
Walnut Creek, CA
Past
October 9, 2013 - March 23, 2015
ACCLARO WEALTH MANAGEMENT
RIA
CRD#: 160310
WALNUT CREEK, CA
Past
August 5, 2011 - January 22, 2013
HOULIHAN LOKEY ADVISORS, LLC
BD
CRD#: 127835
SAN FRANCISCO, CA
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".
PATHWISE
PATHWISE | PATHWISE WEALTH PARTNERS, LLC | PATHWISE WEALTH PARTNERS
CRD#: 174215 / SEC#: 801-121506
RIA
Registered Investment Advisory firm - (6/14/2021 Approved)California
Registered Investment Advisory firm - (7/16/2021 Terminated)Texas
Registered Investment Advisory firm - (6/16/2021 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.Highlighted states indicate IAR registrations
IAR
California(2/20/2015)
IAR
Texas(12/7/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
PATHWISE
PATHWISE | PATHWISE WEALTH PARTNERS, LLC | PATHWISE WEALTH PARTNERS
CRD#: 174215 / SEC#: 801-121506
RIA
Registered Investment Advisory firm - (6/14/2021 Approved)California
Registered Investment Advisory firm - (7/16/2021 Terminated)Texas
Registered Investment Advisory firm - (6/16/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1211 Newell Ave Suite 130, Walnut Creek, CA 94596
Mailing Address
Phone number
(925) 939-5607
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 421 |
| AUM (Assets Under Management) | $ 203,550,807 |
Red Flags
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Company Information
PATHWISE
CRD#: 174215Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
