Paul Herzfeld is a registered investment advisor at The Herzfeld Group, based in Largo, FL, with 38 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 76 clients with $14M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
IM Fee
Planning only
Assets Under Management
$14.0M
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Location
1715 E. Bay Dr., Suite C, Largo, FL, 33771
Get directionsHistory
Regulatory History (10)
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Customer Dispute
November 2006Settled
Customer Dispute
September 2006Settled
Customer Dispute
March 2005Settled
Customer Dispute
February 2004Settled
Customer Dispute
October 2002Settled
Customer Dispute
October 2002Pending
Employment Separation After Allegations
January 2001Customer Dispute
November 2000Settled
Regulatory
November 1995Final
Regulatory
April 1995Final
Other Business Activities
Paul is a practicing estate and tax planning attorney and a member of the Florida Bar. He is also a practicing registered investment advisor.
Employment History
Current Registrations
The Herzfeld Group
October 1992 - Present · 33 yrs 6 mos
Previous Registrations
Westminster Financial Securities, INC.Broker
April 2002 - December 2003 · 1 yr 8 mos
Hardman Financial Services, INC.Broker
August 2001 - July 2002 · 11 mos
Sentra Securities CorporationBroker
January 2001 - March 2001 · 2 mos
Lincoln Investment Planning, INC.Broker
April 1992 - August 1992 · 4 mos
Securities America, INC.Broker
December 1991 - January 2001 · 9 yrs 1 mo
Addison Financial Services, INC.Broker
May 1991 - November 1991 · 6 mos
Investment Management & Research, INCBroker
January 1987 - May 1990 · 3 yrs 4 mos
State Registrations1 state
FL
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.