Joshua N. Pauli

BANKERS LIFE ADVISORY SERVICES

Chicago, IL 60601

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CRD#: 6905352

Professional summary

Joshua Nathanial Pauli is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Chicago, Illinois and BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Joshua has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Joshua Nathanial Pauli'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

July 17, 2023 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

Office #1: 303 E. Wacker Drive 5th Fl, Chicago, IL 60601

RIA

CRD#: 281285

Chicago, IL

Current

July 13, 2023 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601

CRD#: 173962

CHICAGO, IL

Past

September 13, 2021 - July 12, 2023

BENJAMIN F. EDWARDS & COMPANY, INC.

RIA

CRD#: 146936

ST. LOUIS, MO

Past

September 13, 2021 - July 12, 2023

BENJAMIN F. EDWARDS & COMPANY, INC.

CRD#: 146936

ST. LOUIS, MO

Past

August 12, 2019 - September 14, 2021

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

SAINT LOUIS, MO

Past

August 12, 2019 - September 14, 2021

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT LOUIS, MO

Past

March 6, 2019 - August 14, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

ST. LOUIS, MO

Past

March 6, 2019 - August 14, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

St Louis, MO

Past

March 23, 2018 - August 14, 2019

TD AMERITRADE, INC.

CRD#: 7870

ST. LOUIS, MO

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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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.

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

IAR

Illinois
(7/17/2023)

Missouri
(7/13/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/5/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/3/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/20/2022

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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Contact information

Main Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS WRAP BROCHURE 03012025 (2/28/2025)

BLAS-ADV-PART2A 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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.

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Firm Stability Insights

Joshua N. Pauli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Nathanial Pauli's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

BENJAMIN F. EDWARDS & COMPANY, INC.

BENJAMIN F. EDWARDS & COMPANY, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/5/2019

Series 63

Date: 4/3/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2018

Series 9

Date: 5/20/2022

Series 24

Date: 10/29/2021

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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