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.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Leila Mehrizi Shaver | CHIEF COMPLIANCE OFFICER | — |
| Paul Patrick Winkler | PRESIDENT | — |
| Deborah Ann Winkler | DIRECTOR/ SECRETARY | — |
| COSGROVE KRISTA LEE | CHIEF COMPLIANCE OFFICER | — |
| SHAVER LEILA MEHRIZI | CHIEF COMPLIANCE OFFICER | — |
| VEENSTRA JILL ANNE | CHIEF COMPLIANCE OFFICER | — |
| WINKLER PAUL PATRICK | PRESIDENT | — |
| Winkler Deborah Ann | DIRECTOR/ SECRETARY | — |
| PAGANO MALLORY ZD | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-29 | regulatory | FROM 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 |
| 2019-03-13 | regulatory | STATE INVESTMENT ADVISOR LICENSE SUBMITTED FOR CLIENTS IN ALABAMA AFTER INADVERTENTLY EXCEEDING DE MINIMIS STANDARD RE # OF CLIENTS. | Final | $63K |