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Stephen Paul Paluga

Watch Guard Capital LLC

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About Stephen Paul Paluga

Stephen Paluga is a financial advisor with Watch Guard Capital LLC. Stephen has been working in the financial services industry since 2010 and holds a Series 63 and 66 license as well as the Series 9 and SIE exams. Stephen is a Certified Financial Planner™ professional and specializes in financial planning, portfolio management for individuals, and educational seminars. Stephen also has a background serving in the Arizona Air National Guard.

Firm Information

Stephen Paluga is currently registered with Watch Guard Capital LLC. Watch Guard Capital LLC is an investment advisor registered with the SEC. They primarily provide financial planning and portfolio management services to individuals, including high-net-worth individuals. They also offer educational seminars. The firm manages over $37 million in assets for 93 clients.

$37.30M

Assets Under Management

Not reported

Total Clients

2

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Paluga’s Registration & Firm History

AZ

08/15/2024 - Present

Watch Guard Capital LLC (SCOTTSDALE AZ)

AZ

03/10/2010 - 07/26/2016

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

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Licenses & Designations

BOTH

Issued 09/15/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/12/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/27/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 07/26/2016

SIE - Securities Industry Essentials Examination

BC

Issued 03/09/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Stephen Paul Paluga.
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