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CFP
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CFP

Paul Pittman

Wealthplan Investment Management LLC
31 Years of Experience
Wilmington, NC
6 DisclosuresSells Insurance
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Paul Pittman is a CFP-designated registered investment advisor at Wealthplan Investment Management LLC, based in Wilmington, NC, with 31 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Business Owners, Corporate Executives, and 9 more. Their firm serves 2,145 clients with $2.2B in assets under management.

Wealthplan Investment Management LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
29 advisors
Number of Clients
2,145 clients
Average Client Portfolio
$1.0M average
Assets Under Management
$2.2B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum combined annual management fee and annual strategy fee will not exceed 2.00% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Wilmington, NC

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2008
Denied
Customer Dispute
February 2002
Denied
Customer Dispute
June 2000
Settled
Customer Dispute
January 1999
Settled
Criminal
April 1992
Final Disposition
Customer Dispute
April 1991
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Paul sells insurance, dedicating minimal time to it, and is affiliated with Wealthplan Partners RIA and The Preferred Client Group, his DBA, spending nearly full-time on these activities. He also owns a clothing brand and works as a public speaker/corporate comedian, dedicating minimal time to each.

Employment History
Current Registrations
Wealthplan Investment Management LLC
December 2024 - Present · 1 yr 10 mos
Previous Registrations
Osaic Wealth, INC.Broker
June 2024 - December 2024 · 6 mos
Wealthplan Partners
July 2020 - December 2024 · 4 yrs 5 mos
Securities America, INC.Broker
November 2016 - June 2024 · 7 yrs 7 mos
Wealthplan Partners
July 2015 - July 2020 · 5 yrs
LPL Financial LLCBroker
February 2003 - November 2016 · 13 yrs 9 mos
LPL Financial LLC
February 2003 - July 2015 · 12 yrs 5 mos
Wachovia Securities, INC.
July 2002 - March 2003 · 8 mos
Wachovia Securities, INC.Broker
June 2002 - March 2003 · 9 mos
Wachovia Securities, INC.Broker
July 1999 - June 2002 · 2 yrs 11 mos
Prudential Securities IncorporatedBroker
February 1995 - May 1999 · 4 yrs 3 mos
State Registrations1 state
NC
Advisor

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.
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