PAULSON WEALTH MANAGEMENT INC. of WEST PALM BEACH, FL is an SEC-registered investment adviser (CRD 150374). Regulatory assets under management: $558.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Nathan Robert Paulson | CEO; PRESIDENT | — |
| Crista Shay Dumais | CHIEF COMPLIANCE OFFICER | — |
| PAULSON JACQUELINE MARIE | MANAGING DIRECTOR; MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| PAULSON NATHAN ROBERT | MANAGER/CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER; PRESIDENT (+1 more) | — |
| DUMAIS CRISTA SHAY | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-02-01 | regulatory | PWM RECEIVED A CUSTOMER COMPLAINT/DISPUTE AND A STATEMENT OF CLAIM WAS SUBMITTED TO FINRA. PWM DENIES ALL CLAIMS AND FINRA ARBITRATION PROCEEDINGS ARE IN PROCESS. ADV PAR I ITEM 11. G. WAS ANSWERED YES BECAUSE THIS ISSUE HAS NOT BEEN RESOLVED, BUT COULD RESULT IN A DISCLOSURE. | Pending | — |
| 2015-11-20 | regulatory | PRIOR TO RESPONDENT'S MARCH 30, 2015 REGISTRATION APPROVAL WITH THE COMMISSIONER, THE RESPONDENT RECEIVED QUARTERLY MANAGEMENT FEES FROM CLIENTS, WHO WERE GEORGIA RESIDENTS, DURING JULY 2014, AND OCTOBER 2014, IN VIOLATION OF THE STATE'S INVESTMENT ADVISER REGISTRATION REQUIREMENTS SET FORTH UNDER O… | Final | $3K |