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One Boston Place 29Th Floor, Boston, MA 02108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 1999-08-14 |
Branch Locations
One Boston Place 41St Floor, Boston, MA 02108 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wfs,Llc | Boston | MA | 06/2002 | Present |
| Wainwright Investment Counsel, Llc | Boston | MA | 07/2013 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-02-19 |
| S65 | Uniform Investment Adviser Law Examination | 1995-05-08 |
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