PB
PB
Paul Berman
45 Years of Experience
Beverly Hills, CA
6 DisclosuresBroker
Paul Berman is a registered investment advisor at Raymond James & Associates, INC., based in Beverly Hills, CA, with 45 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
9595 Wilshire Blvd., SUITE 801 and 200, Beverly Hills, CA, 90212
Get directionsHistory
Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2011Denied
Customer Dispute
December 2008Denied
Customer Dispute
July 2008Settled
Customer Dispute
June 2003Award / Judgment
Customer Dispute
April 2000Settled
Customer Dispute
March 1999Denied
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
January 2015 - Present · 11 yrs 4 mos
Raymond James & Associates, INC.
January 2015 - Present · 11 yrs 4 mos
Previous Registrations
RBC Capital Markets, LLC
May 2007 - February 2015 · 7 yrs 9 mos
RBC Capital Markets, LLCBroker
May 2007 - February 2015 · 7 yrs 9 mos
Wachovia Securities, LLC
July 2003 - May 2007 · 3 yrs 10 mos
Wachovia Securities, LLCBroker
July 2003 - May 2007 · 3 yrs 10 mos
Prudential Securities Incorporated
October 1999 - July 2003 · 3 yrs 9 mos
Prudential Securities IncorporatedBroker
September 1999 - July 2003 · 3 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1997 - September 1999 · 2 yrs 4 mos
Bear, Stearns & CO. INC.Broker
July 1989 - May 1997 · 7 yrs 10 mos
Sutro & CO. IncorporatedBroker
January 1987 - July 1989 · 2 yrs 6 mos
Drexel Burnham Lambert IncorporatedBroker
June 1982 - February 1987 · 4 yrs 8 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
July 1981 - June 1982 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1980 - July 1981 · 9 mos
State Registrations38 states
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AdvisorBrokerBoth
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.