Paul B. Perdigao

WAINWRIGHT INVESTMENT COUNSEL LLC

BOSTON, MA 02108

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CRD#: 2911607

Professional summary

Paul Brian Perdigao is a registered financial advisor currently at WAINWRIGHT INVESTMENT COUNSEL LLC located in Boston, Massachusetts and WFS, LLC located in Boston, Massachusetts.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Paul has worked at 3 firms and has passed the Series 63, Series 65, Series 99TO, Series 57TO, SIE, Series 55, 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.

MR. PERDIGAO IS EMPLOYED BY WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR, AND CURRENTLY HOLDS THE POSITION OF DIRECTOR OF OPERATIONS & VICE PRESIDENT. MR. PERDIGAO IS THE AML COMPLIANCE OFFICER OF 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. PERDIGAO MAINTAINS OUTSIDE BUSINESS ACTIVITY (RENTAL PROPERTY), WHICH IS CONDUCTED AFTER MARKET HOURS AND IS NOT SECURITIES INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Brian Perdigao's CRS (Customer Relationship Summary).

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

January 1, 2002 - Present

WAINWRIGHT INVESTMENT COUNSEL LLC

Office #1: One Boston Place 41st Floor, Boston, MA 02108

RIA

CRD#: 108711

BOSTON, MA

Current

April 11, 2002 - Present

WFS, LLC

Office #1: One Boston Place, Boston, MA 02108

CRD#: 116778

BOSTON, MA

Past

September 23, 1998 - April 16, 2002

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

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".

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.

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

IAR

Massachusetts
(1/1/2002)

Massachusetts
(4/11/2002)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/12/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/22/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/9/2014

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/22/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WAINWRIGHT INVESTMENT COUNSEL LLC

CRD#: 108711 / SEC#: 801-56485

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

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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

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAINWRIGHT INVESTMENT COUNSEL, LLC FORM ADV PART 2 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	207
AUM (Assets Under Management)	$ 5,548,153,000

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.

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Firm Stability Insights

Paul B. Perdigao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Brian Perdigao's CRS (Customer Relationship Summary).

Certified licenses

Experience

WFS, LLC

H.C.WAINWRIGHT & CO., LLC

Primary Firm SEC Registration

WAINWRIGHT INVESTMENT COUNSEL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/2000

Series 65

Date: 9/22/1997

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 6/9/2014

Series 7

Date: 9/22/1998

Series 24

Date: 10/20/2004

FINRA

Current Firm

WAINWRIGHT INVESTMENT COUNSEL LLC

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAINWRIGHT INVESTMENT COUNSEL LLC

TRUST BUT VERIFY

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