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Detailed Report
PAULA JANE HART
PAULA JANE HUMPHREYS, PAULA J MILES, PAULA JANE MILES
CRD#: 3198068
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 IRVINE, CA
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2013 (3 years)2 FIRMS2024 - Present (<1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2018 - 2023 (4 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2017 - 2018 (1 year)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2014 - 2017 (3 years)BMORGAN STANLEY DW INC. (CRD# 7556)2006 - 2007 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2003 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 1999 (<1 year)IASTEELPEAK WEALTH, LLC (CRD# 165168)2023 - 2024 (1 year)IASEIA (CRD# 108163)2017 - 2023 (5 years)
Disclosure(s)
View By:
9/17/2013
Employment Separation After Allegations
License(s)

State Registrations

IA
California 5/15/2024
B
Texas 7/2/2024
B
California 5/16/2024
IA
Texas 8/27/2024
B
Hawaii 6/10/2024
B
Washington 5/20/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
IRVINE, CA
Registered with this firm since 5/15/2024
B
LPL FINANCIAL LLC (CRD#:6413)
IRVINE, CA
Registered with this firm since 5/16/2024
Previous Registration(s)
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IA
 05/01/2023 - 05/16/2024 STEELPEAK WEALTH, LLC (CRD#:165168) Newport Beach, CA
B
 11/02/2018 - 05/05/2023 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) NEWPORT BEACH, CA
IA
 08/04/2017 - 05/01/2023 SEIA (CRD#:108163) Newport Beach, CA
B
 07/28/2017 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) LOS ANGELES, CA
B
 04/23/2014 - 07/18/2017 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) NEWPORT BEACH, CA
IA
 10/23/2009 - 09/20/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAGUNA BEACH, CA
B
 10/23/2009 - 09/20/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAGUNA BEACH, CA
IA
 06/01/2009 - 10/29/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) NEWPORT BEACH, CA
B
 06/01/2009 - 10/29/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) NEWPORT BEACH, CA
IA
 05/14/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEWPORT BEACH, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEWPORT BEACH, CA
B
 11/21/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) IRVINE, CA
B
 07/01/1999 - 10/07/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 03/24/1999 - 06/29/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.