Alexander Joseph Paulea

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2018-11-29

TX RA
APPROVED

Since 2018-11-29

Branch Locations

Seabrook, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Raymond James And Associates	Houston	TX	05/2015	11/2018
Lpl Financial, Llc	Seabrook	TX	11/2018	Present

05/2015 → 11/2018

Raymond James And Associates

Houston, TX
11/2018 → Present

Lpl Financial, Llc

Seabrook, TX

Previous Registrations

2015-09-17 → 2018-11-30

Raymond James & Associates, Inc.

Houston, TX

Other Businesses

1. 09/18/2018 - PAULEA INVESTMENT PARTNERS, LTD/ FAMILY BUSINESS/ INVESTMENT RELATED / 0%/ HOUSTON, TX 2. 09/18/2018 - PAULEA PARTNERS, LTD./ FAMILY BUSINESS/ INVESTMENT RELATED / 0%/ HOUSTON, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-09-16

S66 Uniform Combined State Law Examination

2015-09-16

View on SEC IAPD