Anna Y. Paul
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.
Anna Yvette Paul, CFP®, who also goes by Anna Y Paul, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2014. Anna had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2018 - September 30, 2021
ALIGHT FINANCIAL ADVISORS, LLC
April 26, 2018 - September 30, 2021
ALIGHT FINANCIAL SOLUTIONS, LLC
September 3, 2015 - March 19, 2018
VANGUARD ADVISERS, INC.
May 13, 2014 - March 19, 2018
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
ALIGHT FINANCIAL ADVISORS, LLC
CRD#: 158744 / SEC#: 801-72679
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALIGHT FINANCIAL ADVISORS, LLC
CRD#: 158744 / SEC#: 801-72679
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 197,089 |
| AUM (Assets Under Management) | $ 30,882,928,556 |
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.
