Paul V. Herzfeld

THE HERZFELD GROUP

LARGO, FL 33771

Some features on this profile are disabled

CRD#: 1546642

Professional summary

Paul Vincent Herzfeld is a registered financial advisor currently at THE HERZFELD GROUP located in Largo, Florida.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Paul has worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PRACTICING ESTATE & TAX PLANNING ATTORNEY, MEMBER OF THE FLORIDA BAR. PRACTICING REGISTERED INVESTMENT ADVISOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Vincent Herzfeld's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 28, 1992 - Present

THE HERZFELD GROUP

Office #1: 1715 E. Bay Dr. Suite C, Largo, FL 33771

RIA

CRD#: 108552

LARGO, FL

Past

April 25, 2002 - December 31, 2003

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

August 29, 2001 - July 18, 2002

HARDMAN FINANCIAL SERVICES, INC.

CRD#: 35298

WEST PALM BEACH, FL

Past

January 18, 2001 - March 15, 2001

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

April 13, 1992 - August 25, 1992

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

December 17, 1991 - January 5, 2001

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

May 6, 1991 - November 25, 1991

ADDISON FINANCIAL SERVICES, INC.

CRD#: 23746

PALM HARBOR, FL

Past

January 21, 1987 - May 31, 1990

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/28/1992)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/1992

General Securities Principal Examination

Current Firm

THE HERZFELD GROUP

HERZFELD GROUP INC | THE HERZFELD GROUP

CRD#: 108552 / SEC#: 801-56951

RIA

Registered Investment Advisory firm - (4/23/2012 Terminated)

Florida

Registered Investment Advisory firm - (11/30/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1715 East Bay Drive, Suite C, Largo, FL 33771

Mailing Address

Phone number

(727) 587-0009

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	67
AUM (Assets Under Management)	$ 12,367,997

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul V. Herzfeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Vincent Herzfeld's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE HERZFELD GROUP

WESTMINSTER FINANCIAL SECURITIES, INC.

HARDMAN FINANCIAL SERVICES, INC.

SENTRA SECURITIES CORPORATION

LINCOLN INVESTMENT

SECURITIES AMERICA, INC.

ADDISON FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/1992

Series 7

Date: 1/17/1987

Series 24

Date: 1/24/1992

Current Firm

THE HERZFELD GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE HERZFELD GROUP

TRUST BUT VERIFY

Similar Advisors