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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)23 years in industry

PAUL JOSEPH FAULKNER

Advisor at ALIGHT FINANCIAL ADVISORS, LLC

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:f707af50-daae-b077-cf1e-403a44d5117f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2002 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: ALIGHT FINANCIAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S66|S65
First exam: Nov 15, 2002
First registration: Nov 18, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1904004

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
ALIGHT FINANCIAL ADVISORS, LLC	Independent wealth	Jul 19, 2012	n/a	yes	CHARLOTTE, NC	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Aug 16, 2011	Jan 20, 2012	no	WEST HARTFORD, CT	Previous registration
VOYA RETIREMENT ADVISORS, LLC	Other adviser	Mar 24, 2009	Jul 29, 2011	no	QUINCY, MA\|HARTFORD, CT	Previous registration
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.	n/a	Nov 18, 2002	Dec 3, 2004	no	HARTFORD, CT	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
STRATEGIC ADVISERS LLC	ALIGHT FINANCIAL ADVISORS, LLC	Jan 20, 2012	Jul 19, 2012	181	Firm change	Other
VOYA RETIREMENT ADVISORS, LLC	STRATEGIC ADVISERS LLC	Jul 29, 2011	Aug 16, 2011	18	Firm change	Other
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.	VOYA RETIREMENT ADVISORS, LLC	Dec 3, 2004	Mar 24, 2009	1,572	Firm change after gap	Other

Relationships

Registered with (4)

→ ALIGHT FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Jul 19, 2012 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 16, 2011 to Jan 20, 2012factForm ADV
→ VOYA RETIREMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 24, 2009 to Jul 29, 2011factForm ADV
→ PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Nov 18, 2002 to Dec 3, 2004factForm ADV

Dated events

No dated event names this entity yet.