EB
Eric P. Bertonazzi
WAINWRIGHT INVESTMENT COUNSEL LLC
BOSTON, MA 02108
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CRD#: 2590583
EB
Professional summary
Eric Paul Bertonazzi is a registered financial advisor currently at WAINWRIGHT INVESTMENT COUNSEL LLC located in Boston, Massachusetts and WFS, LLC located in Boston, Massachusetts.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 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.
MR. BERTONAZZI IS EMPLOYED BY WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR, AND CURRENTLY HOLDS THE POSITION OF CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER. HE IS REGISTERED WITH WFS, LLC WHOSE BUSINESS IS CURRENTLY LIMITED TO ENGAGING IN THE FACILITATION OF PRIVATE PLACEMENT TRANSACTIONS. WFS, LLC IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. MR. BERTONAZZI IS THE MANAGING MEMBER AND A PRINCIPAL AND ASSOCIATED PERSON OF WAINWRIGHT CAPITAL PARTNERS, LLC ("WCAP"), A COMMODITY POOL OPERATOR AND MEMBER OF THE NATIONAL FUTURES ASSOCIATION. WCAP IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. WCAP ACTS AS GENERAL PARTNER OF THE WAINWRIGHT RENAISSANCE FUND 1, L.P. WCAP IS ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. THE MAJORITY OF HIS WORKING HOURS ARE SPENT ON WAINWRIGHT BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Paul Bertonazzi'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
August 14, 1999 - Present
WAINWRIGHT INVESTMENT COUNSEL LLC
Office #1: One Boston Place 41st Floor, Boston, MA 02108RIA
CRD#: 108711
BOSTON, MA
Current
February 10, 2009 - Present
WFS, LLC
Office #1: One Boston Place, Boston, MA 02108Office #2: One Boston Place, Boston, MA 02108BD
CRD#: 116778
BOSTON, MA
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".
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/13/2013)
IAR
Massachusetts(8/14/1999)
RR
Massachusetts(4/18/2013)
RR
Rhode Island(3/27/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Boston Place 29th Floor, Boston, MA 02108
Mailing Address
Phone number
(617) 531-3100
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 5,548,153,000 |
Red Flags
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Company Information
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711Boston, MA 02108TRUST BUT VERIFY
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