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Pauletta M. Rist

Some features on this profile are disabled
CRD#: 5714868
PR

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.

Pauletta M Rist was a registered financial professional .

Pauletta is a previously registered financial professional and started their career in finance in 2009. Pauletta had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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

November 23, 2020 - March 30, 2023

THURSTON SPRINGER ADVISORS

RIA
CRD#: 299201
INDIANAPOLIS, IN
Past

May 28, 2019 - November 23, 2020

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA
CRD#: 8478
INDIANAPOLIS, IN
Past

May 23, 2019 - March 30, 2023

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

BD
CRD#: 8478
INDIANAPOLIS, IN
Past

July 31, 2015 - February 26, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
INDIANAPOLIS, IN
Past

May 4, 2015 - February 26, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
INDIANAPOLIS, IN
Past

November 9, 2009 - August 2, 2012

EDWARD JONES

RIA
CRD#: 250
AVON, IN
Past

October 26, 2009 - August 2, 2012

EDWARD JONES

BD
CRD#: 250
AVON, IN

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".
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL

CRD#: 299201 / SEC#: 801-114256

RIA
Registered Investment Advisory firm - (11/2/2018 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/30/2015
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: 5/4/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/17/2019
General Securities Principal Examination

Current Firm

TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL

CRD#: 299201 / SEC#: 801-114256

RIA
Registered Investment Advisory firm - (11/2/2018 Approved)
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Contact information

Main Address
9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 581-4000
Established
Firm type
Fiscal year end
# of Employees
93

SEC notice filing (41 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

TSA_ADV2A_(FINAL 9.14.25) (10/14/2025)
TSA_WRAPBROCHURE_(FINAL 9.11.25) (9/11/2025)

Regulatory assets under management

Total Number of Accounts6,759
AUM (Assets Under Management)$ 3,675,305,852

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/21/2025
Cover Page
Report
02/28/2024
Cover Page
Report

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

THURSTON SPRINGER ADVISORS

CRD#: 299201

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