Paul Harrigan

WHARTON MIDMARKET INVESTMENT ADVISORS

Woodbridge, CT 06525

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CRD#: 6039178

Professional summary

Paul Harrigan II, who also goes by Paul Harrigan, is a registered financial advisor currently at WHARTON MIDMARKET INVESTMENT ADVISORS INC located in Woodbridge, Connecticut and WHARTON MIDMARKET SECURITIES INC. located in Woodbridge, Connecticut.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Paul has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 79, Series 53, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Harrigan

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.

WHARTON MIDMARKET ADVISORS, LLC, OWNER - MANAGEMENT CONSULTING; 6/2011 TO PRESENT; 160 HOURS PER MONTH HARRIGAN INSURANCE & FINANCIAL SERVICES, INC. ASSISTANT, VARIOUS JAN 2005 TO PRESENT 0-8 HRS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Harrigan II'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 12, 2021 - Present

WHARTON MIDMARKET INVESTMENT ADVISORS INC

Office #1: 27 Brook Road, Woodbridge, CT 06525

RIA

CRD#: 301186

Woodbridge, CT

Current

November 26, 2013 - Present

WHARTON MIDMARKET SECURITIES INC.

Office #1: 27 Brook Road, Woodbridge, CT 06525

CRD#: 167531

Woodbridge, CT

Past

August 21, 2019 - December 31, 2020

WHARTON MIDMARKET INVESTMENT ADVISORS INC

RIA

CRD#: 301186

WOODBRIDGE, CT

Past

October 10, 2012 - November 13, 2013

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

March 19, 2012 - October 11, 2012

FALLBROOK CAPITAL SECURITIES CORP.

CRD#: 101180

CALABASAS, CA

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".

WHARTON MIDMARKET INVESTMENT ADVISORS INC

WHARTON MIDMARKET INVESTMENT ADVISORS INC | WHARTON MIDMARKET INVESTMENT ADVISORS INC.

CRD#: 301186 / SEC#: 801-116676

RIA

Registered Investment Advisory firm - (5/24/2019 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

Connecticut
(1/2/2014)

IAR

Connecticut
(1/12/2021)

Florida
(4/1/2014)

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: 4/20/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/22/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 11/14/2020

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/2012

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 3/16/2012

Investment Banking Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/6/2021

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 12/11/2013

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/6/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WHARTON MIDMARKET INVESTMENT ADVISORS INC

WHARTON MIDMARKET INVESTMENT ADVISORS INC | WHARTON MIDMARKET INVESTMENT ADVISORS INC.

CRD#: 301186 / SEC#: 801-116676

RIA

Registered Investment Advisory firm - (5/24/2019 Approved)

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Contact information

Main Address

27 Brook Road, Woodbridge, CT 06525

Mailing Address

Phone number

(203) 606-9696

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 ADV PART 2 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 222,360,550

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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Paul Harrigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WHARTON MIDMARKET SECURITIES INC.

WHARTON MIDMARKET INVESTMENT ADVISORS INC

INDEPENDENT INVESTMENT BANKERS, CORP.

FALLBROOK CAPITAL SECURITIES CORP.

Primary Firm SEC Registration

WHARTON MIDMARKET INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2019

Series 63

Date: 3/22/2012

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 11/14/2020

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2012

Series 79

Date: 3/16/2012

Series 53

Date: 3/6/2021

Series 28

Date: 12/11/2013

Series 24

Date: 4/6/2012

FINRA

Current Firm

WHARTON MIDMARKET INVESTMENT ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHARTON MIDMARKET INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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