Paula Jane Hart

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2014 → 07/2017
  Purshe Kaplan Sterling Investments
  Albany, NY
• 11/2013 → 07/2017
  Integrated Wealth Management
  Laguna Beach, CA
• 07/2017 → 11/2018
  Sii
  Los Angeles, CA
• 07/2017 → 04/2023
  Seia Llc
  Newport Beach, CA
• 11/2018 → 04/2023
  Royal Alliance Associates, Inc.
  Los Angeles, CA
• 05/2023 → 05/2024
  Steel Peak Wealth Management, Llc
  Woodland Hills, CA
• 05/2024 → Present
  Lpl Financial Llc
  Irvine, CA

Previous Registrations

• 2023-05-01 → 2024-05-16
  Steelpeak Wealth, Llc
  Los Angeles, CA
  Newport Beach, CA
  Los Angeles, CA
• 2017-08-04 → 2023-05-01
  Seia
  Newport Beach, CA
  Los Angeles, CA
• 2009-10-23 → 2013-09-20
  Wells Fargo Clearing Services, Llc
  Laguna Beach, CA
• 2009-06-01 → 2009-10-29
  Morgan Stanley
  Newport Beach, CA
• 2007-05-14 → 2009-06-01
  Morgan Stanley & Co. Llc
  Newport Beach, CA
  Irvine, CA

Other Businesses

1) 05/15/2024 - Notary / Inv. Related / Irvine CA / Start date 01/16/2023 / 0 Hrs/Mth - 0 Hrs During Trading. 2) 07/02/2025 - Lockton Affinity, LLC - Investment Related - Non-Variable Insurance - Start Date:06/13/2025 - 5 Hrs/Mth - 1 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2007-05-11
• S63 Uniform Securities Agent State Law Examination
  1999-05-24

Other Names

• Paula Jane Humphreys
• Paula J Miles
• Paula Jane Miles