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Investment Adviser Firm Summary
PAUL WINKLER, INC. ( CRD # 119342/SEC#:801-128081 )
PAUL WINKLER, INC., THE INVESTOR COACH, INC., RETIREMENT & INVESTMENT STRATEGIES, INC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved6/1/2023
AlabamaTerminated7/26/2023
ArizonaTerminated7/26/2023
ArkansasTerminated7/26/2023
CaliforniaTerminated8/25/2023
FloridaTerminated7/26/2023
GeorgiaTerminated8/3/2023
IndianaTerminated7/26/2023
KentuckyTerminated7/26/2023
LouisianaTerminated7/26/2023
MichiganTerminated8/9/2023
MississippiTerminated7/26/2023
North CarolinaTerminated8/1/2023
OhioTerminated7/26/2023
TennesseeTerminated7/27/2023
TexasTerminated7/26/2023
VirginiaTerminated7/26/2023
WisconsinTerminated7/26/2023
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama6/1/2023
Arizona6/1/2023
Arkansas6/1/2023
California6/1/2023
Colorado3/27/2024
Connecticut3/27/2024
Florida6/1/2023
Georgia6/1/2023
Illinois3/27/2024
Indiana6/1/2023
Kentucky6/1/2023
Louisiana6/1/2023
Maine3/27/2024
Maryland3/27/2024
Michigan6/1/2023
Mississippi6/1/2023
Missouri3/27/2024
Nebraska3/27/2024
New York3/27/2024
North Carolina6/1/2023
Ohio6/1/2023
Pennsylvania3/27/2024
South Carolina3/27/2024
Tennessee6/1/2023
Texas6/1/2023
Utah3/27/2024
Virginia6/1/2023
Washington3/27/2024
Wisconsin6/1/2023
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.