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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

MARK EDWARD PAULY

Advisor at CIBC PRIVATE WEALTH ADVISORS, INC.

Chicago, IL

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Search this name across graphsid dfx:ria:d97583a2-1d7a-11b5-2193-1cc7439ff602

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2011 to Sep 14, 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: CIBC PRIVATE WEALTH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 4, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 9
Exams: S66
First exam: Feb 4, 2013
First registration: Oct 4, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 1279072

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
CIBC PRIVATE WEALTH ADVISORS, INC.	Bd affiliated wealth	Dec 1, 2017	n/a	yes	Chicago, IL	Current employment
GENEVA ADVISORS, LLC	Former SEC adviser	Oct 29, 2015	Sep 1, 2017	no	CHICAGO, IL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 10, 2013	Nov 10, 2015	no	DOWNERS GROVE, IL	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Oct 4, 2011	Feb 7, 2012	no	CHICAGO, IL	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
GENEVA ADVISORS, LLC	CIBC PRIVATE WEALTH ADVISORS, INC.	Sep 1, 2017	Dec 1, 2017	91	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	GENEVA ADVISORS, LLC	Nov 10, 2015	Oct 29, 2015	-12	Firm change	Other
NEUBERGER BERMAN BD LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 7, 2012	Jan 10, 2013	338	Firm change	Other

Relationships

Registered with (4)

→ CIBC PRIVATE WEALTH ADVISORS, INC.Registered adviserregistration: current employment
Dec 1, 2017 to presentfactForm ADV
→ GENEVA ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 29, 2015 to Sep 1, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 10, 2013 to Nov 10, 2015factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Oct 4, 2011 to Feb 7, 2012factForm ADV

Dated events

No dated event names this entity yet.