Paul Perillo

SVB WEALTH

New York, NY 10036

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CRD#: 4574252

Professional summary

Paul Perillo is a registered financial advisor currently at SVB WEALTH located in New York, New York and FIRST CITIZENS INVESTOR SERVICES, INC. located in New York, New York.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Paul has worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31 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.

Dually registered with affiliated firm SVB Wealth LLC. Investment Advisor; Provides investment advisory services to clients. Full time employee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Perillo'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

February 23, 2022 - Present

SVB WEALTH

Office #1: 11 West 42nd Street 13th Floor, New York, NY 10036

RIA

CRD#: 172832

New York, NY

Current

January 16, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 11 West 42nd Street, New York, NY 10036

RIA

CRD#: 44430

New York, NY

Current

December 14, 2023 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 11 West 42nd Street, New York, NY 10036

RIA

CRD#: 44430

New York, NY

Past

December 2, 2021 - July 29, 2022

SVB INVESTMENT SERVICES INC.

RIA

CRD#: 168116

New York, NY

Past

December 2, 2021 - December 31, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

New York, NY

Past

December 3, 2019 - December 3, 2021

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

September 20, 2019 - December 3, 2021

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

February 10, 2015 - May 14, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

Greenwich, CT

Past

November 7, 2014 - December 12, 2014

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

June 11, 2014 - November 7, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

February 23, 2009 - June 25, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

February 23, 2009 - June 25, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

September 12, 2006 - February 27, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

June 2, 2003 - February 27, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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

California
(5/23/2024)

IAR

Colorado
(5/22/2024)

IAR

Connecticut
(5/22/2024)

IAR

District of Columbia
(8/27/2024)

IAR

New Jersey
(7/9/2024)

IAR

New York
(2/23/2022)

New York
(12/14/2023)

IAR

Pennsylvania
(5/23/2024)

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

IAR

Series 66

Date: 12/3/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/23/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/11/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/28/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/30/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Paul Perillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

SVB INVESTMENT SERVICES INC.

SVB INVESTMENT SERVICES INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

J.P. MORGAN SECURITIES LLC

T3 TRADING GROUP, LLC

WTS PROPRIETARY TRADING GROUP LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2019

Series 63

Date: 2/23/2015

Series 65

Date: 9/11/2006

SIE

Date: 10/1/2018

Series 31

Date: 3/28/2007

Series 7

Date: 5/30/2003

FINRA

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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