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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

PAULA JANE HART

Advisor at GUARDIAN FINANCIAL PARTNERS, LLC

IRVINE, CA | Irvine, CA

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Search this name across graphsid dfx:ria:372bce04-799e-ccf9-cfb3-7839515ca485

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 14, 2007 to Sep 17, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GUARDIAN FINANCIAL PARTNERS, LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 24, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 2
Exams: S66|S63
First exam: May 24, 1999
First registration: May 14, 2007
Dual registered: yes, broker-dealer
Other names: PAULA JANE HUMPHREYS|PAULA J MILES|PAULA JANE MILES
IAPD individual key: 3198068

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GUARDIAN FINANCIAL PARTNERS, LLC	Mixed wealth	Sep 16, 2026	n/a	yes	Irvine, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 15, 2024	n/a	yes	IRVINE, CA	Current employment
STEELPEAK WEALTH, LLC	Independent wealth	May 1, 2023	May 16, 2024	no	LOS ANGELES, CA\|Newport Beach, CA\|LOS ANGELES, CA	Previous registration
Seia	Bd affiliated wealth	Aug 4, 2017	May 1, 2023	no	Newport Beach, CA\|LOS ANGELES, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 23, 2009	Sep 20, 2013	no	LAGUNA BEACH, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 29, 2009	no	NEWPORT BEACH, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 14, 2007	Jun 1, 2009	no	NEWPORT BEACH, CA\|IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STEELPEAK WEALTH, LLC	LPL FINANCIAL LLC	May 16, 2024	May 15, 2024	-1	Firm change	RIA to ibd
Seia	STEELPEAK WEALTH, LLC	May 1, 2023	May 1, 2023	0	Firm change	Ibd to RIA
WELLS FARGO ADVISORS	Seia	Sep 20, 2013	Aug 4, 2017	1,414	Firm change after gap	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Oct 29, 2009	Oct 23, 2009	-6	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
108163:165168:CA:2023-05-01	May 1, 2023	May 1, 2023	LOS ANGELES, CA	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 15, 2024 to presentfactForm ADV
→ STEELPEAK WEALTH, LLCRegistered adviserregistration: previous registration
May 1, 2023 to May 16, 2024factForm ADV
→ SEIARegistered adviserregistration: previous registration
Aug 4, 2017 to May 1, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 23, 2009 to Sep 20, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 29, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 14, 2007 to Jun 1, 2009factForm ADV

Dated events

Occurred
May 16, 2024
Advisor changed firm
Paula Jane Hart left Steelpeak Wealth, Llc for Lpl Financial Llc (registered 2024-05-15)
Form ADVobserved 6 days ago
Occurred
May 1, 2023
Advisor changed firm
Paula Jane Hart left Seia for Steelpeak Wealth, Llc (registered 2023-05-01)
Form ADVobserved 6 days ago