Paul Faulkner is a ChFC-designated registered investment advisor, based in Charlotte, NC, with 35 years of industry experience.
Location
9300 Harris Corners Parkway, Suite 105, Charlotte, NC, 28269
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Paul works as an independent contractor providing ice hockey and skating instruction at local rinks since 1996. This non-investment related activity takes a few hours per week.
Employment History
Current Registrations
Alight Financial Solutions, LLCBroker
October 2013 - Present · 12 yrs 9 mos
Alight Financial Advisors, LLC
July 2012 - Present · 14 yrs
Previous Registrations
Strategic Advisers, INC.
August 2011 - January 2012 · 5 mos
Fidelity Brokerage Services LLCBroker
August 2011 - January 2012 · 5 mos
Ing Investment Advisors, LLC
March 2009 - July 2011 · 2 yrs 4 mos
Ing Investment Advisors, LLCBroker
February 2009 - July 2011 · 2 yrs 5 mos
Hartford Securities Distribution Company, INC.Broker
February 2007 - February 2009 · 2 yrs
Hartford Equity Sales Company INC.Broker
December 2006 - December 2008 · 2 yrs
Prudential Investment Management Services LLCBroker
March 2006 - December 2006 · 9 mos
Prudential Investment Management Services LLCBroker
December 2004 - October 2005 · 10 mos
Prudential Retirement Brokerage Services, INC.
November 2002 - December 2004 · 2 yrs 1 mo
Prudential Retirement Brokerage Services, INC.Broker
August 2002 - December 2004 · 2 yrs 4 mos
Cigna Financial Services, INC.Broker
January 1998 - October 2001 · 3 yrs 9 mos
Cigna Financial Advisors,inc.Broker
October 1992 - December 1997 · 5 yrs 2 mos
Cigna Capital Brokerage, INC.Broker
October 1989 - September 1992 · 2 yrs 11 mos
Cigna Securities, INC.Broker
January 1989 - October 1989 · 9 mos
State Registrations2 states
CTNC
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.