Stephen P. Paluga
Professional summary
Stephen Paul Paluga, CFP®, who also goes by Stephen P Paluga, is a registered financial advisor currently at WATCH GUARD CAPITAL LLC located in Scottsdale, Arizona.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Stephen has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Paul Paluga's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2012
Experience
August 19, 2016 - Present
WATCH GUARD CAPITAL LLC
January 3, 2012 - July 26, 2016
SCHWAB WEALTH ADVISORY, INC.
September 16, 2011 - December 31, 2011
CHARLES SCHWAB & CO., INC.
March 10, 2010 - July 26, 2016
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/19/2016)
(5/31/2023)
(9/8/2016)
(8/12/2025)
(8/15/2024)
Exams
Current Firm
WATCH GUARD CAPITAL LLC
CRD#: 284719 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 327 |
| AUM (Assets Under Management) | $ 55,404,559 |
Red Flags
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