PAUL WINKLER, INC.

PAUL WINKLER, INC. of GOODLETTSVILLE, TN is an SEC-registered investment adviser (CRD 119342). Regulatory assets under management: $1.3B. This firm reports disciplinary history on Form ADV.

Registration

Business model

Compensation: % of AUM, Hourly, Fixed.

Clients served: Individuals, High net worth, Charities.

Officers, owners & control persons (9)

NameRoleLocation
Leila Mehrizi ShaverCHIEF COMPLIANCE OFFICER—
Paul Patrick WinklerPRESIDENT—
Deborah Ann WinklerDIRECTOR/ SECRETARY—
COSGROVE KRISTA LEECHIEF COMPLIANCE OFFICER—
SHAVER LEILA MEHRIZICHIEF COMPLIANCE OFFICER—
VEENSTRA JILL ANNECHIEF COMPLIANCE OFFICER—
WINKLER PAUL PATRICKPRESIDENT—
Winkler Deborah AnnDIRECTOR/ SECRETARY—
PAGANO MALLORY ZDCHIEF COMPLIANCE OFFICER—

Disclosures (12)

InitiatedTypeAllegationsStatusAmount
2021-06-29regulatoryFROM APRIL 2019 THROUGH APRIL 2021, THE FIRM OPERATED AS AN INVESTMENT ADVISER IN TEXAS AT A TIME WHEN THE FIRM WAS NOT REGISTERED WITH THE SECURITIES COMMISSIONER AS AN INVESTMENT ADVISER AND WAS NO LONGER EXEMPT FROM REGISTRATION REQUIREMENTS.Final$5K
2019-03-13regulatorySTATE INVESTMENT ADVISOR LICENSE SUBMITTED FOR CLIENTS IN ALABAMA AFTER INADVERTENTLY EXCEEDING DE MINIMIS STANDARD RE # OF CLIENTS.Final$63K

Branch offices (20)

Showing 15 of 20 offices.

CityStateEmployeesPhone
FRANKLINTN3615-851-1950
FRANKLINTN3615-851-1950
COLUMBIATN2615-851-1950
MT. JULIETTN2615-851-1950
COOKEVILLETN2615-851-1950
COOKEVILLETN2615-851-1950
COLUMBIATN2615-851-1950
MT. JULIETTN2615-851-1950
TULLAHOMATN1615-851-1950
MURFREESBOROTN1615-851-1950
GALLATINTN1615-851-1950
CLARKSVILLETN1615-851-1950
GOODLETTSVILLETN1615-851-1950
DICKSONTN1615-851-1950
TULLAHOMATN1615-851-1950

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