PS
Paul B. Schatz
HERITAGE CAPITAL
WOODBRIDGE, CT 06525
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CRD#: 2241878
PS
Professional summary
Paul Brian Schatz is a registered financial advisor currently at HERITAGE CAPITAL, LLC located in Woodbridge, Connecticut.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Paul has worked at 4 firms and has passed the Series 65, Series 63, Series 31, 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.
Paul Schatz is a Managing Partner of Numetrix Capital, LLP, a research firm that provides investment solutions to institutions, mutual funds and Registered Investment Advisers. He devotes less than 10 hours per month and his functions are marketing, research and providing trading signals.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Brian Schatz'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®
NoneExperience
Current
January 6, 2004 - Present
HERITAGE CAPITAL, LLC
Office #1: 1 Bradley Road Suite 202, Woodbridge, CT 06525RIA
CRD#: 127650
WOODBRIDGE, CT
Past
May 2, 2001 - July 30, 2001
DU PASQUIER & CO., INC.
BD
CRD#: 24750
NEW YORK, NY
Past
July 22, 1997 - December 31, 2005
BENEFICIAL CAPITAL INC.
RIA
CRD#: 8219
WOODBRIDGE, CT
Past
September 13, 1993 - January 19, 2006
BENEFICIAL CAPITAL INC.
BD
CRD#: 8219
WOODBRIDGE, CT
Past
July 30, 1992 - August 6, 1993
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HC
HERITAGE CAPITAL, LLC
HERITAGE CAPITAL, LLC
CRD#: 127650 / SEC#: 801-132778
RIA
Registered Investment Advisory firm - (5/15/2025 Approved)Connecticut
Registered Investment Advisory firm - (6/2/2025 Terminated)Florida
Registered Investment Advisory firm - (5/22/2025 Terminated)Maryland
Registered Investment Advisory firm - (4/2/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (5/22/2025 Terminated)New York
Registered Investment Advisory firm - (5/22/2025 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/14/2013 Terminated)Rhode Island
Registered Investment Advisory firm - (6/9/2025 Terminated)Texas
Registered Investment Advisory firm - (5/22/2025 Terminated)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
Connecticut(1/6/2004)
IAR
Texas(11/14/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HC
HERITAGE CAPITAL, LLC
HERITAGE CAPITAL, LLC
CRD#: 127650 / SEC#: 801-132778
RIA
Registered Investment Advisory firm - (5/15/2025 Approved)Connecticut
Registered Investment Advisory firm - (6/2/2025 Terminated)Florida
Registered Investment Advisory firm - (5/22/2025 Terminated)Maryland
Registered Investment Advisory firm - (4/2/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (5/22/2025 Terminated)New York
Registered Investment Advisory firm - (5/22/2025 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/14/2013 Terminated)Rhode Island
Registered Investment Advisory firm - (6/9/2025 Terminated)Texas
Registered Investment Advisory firm - (5/22/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Bradley Road Suite 202, Woodbridge, CT 06525
Mailing Address
Phone number
(203) 389-3553
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 645 |
| AUM (Assets Under Management) | $ 128,908,923 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HERITAGE CAPITAL, LLC
CRD#: 127650Woodbridge, CT 06525TRUST BUT VERIFY
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