Paul Gomperz: Ex-National Securities Advisor Faces GWG Complaint

Liverpool, New York financial advisor Paul Gomperz (CRD# 224867) allegedly recommended an unsuitable GWG L bond, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with IBN Financial Services, having previously been registered with B. Riley Wealth Management and National Securities Corporation.

Mr. Gomperz’s BrokerCheck report discloses one investor complaint. Filed in 2022, it alleges that as a representative of National Securities Corporation, he recommended an unsuitable investment in GWG Holdings. (More information about investments GWG, which sold “L bonds” products to many investors before filing for bankruptcy and falling under regulatory scrutiny, is available here.) The pending complaint alleges damages of $158,000.

According to the Financial Industry Regulatory Authority, Paul Gomperz holds 54 years of securities industry experience. Based in Liverpool, New York, he has been a broker with IBN Financial Services since March 2023. His past registrations include B. Riley Wealth Management (Memphis, Tennessee; 2022), National Securities Corporation (Jersey City, New Jersey; 2013-2022), LPL Financial (Florham Park, New Jersey; 2008-2013), Summit Asset Management (Florham Park, New Jersey; 2011-2013), Nationwide Planning Associates (Millburn, New Jersey; 2007-2008), Industry Savings Plans (Greenwood Village, Colorado; 1968-2007), FIA Capital Group (Short Hills, New Jersey; 1995-1998), and JB Hanauer & Company (1985-1986). His credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 00; the Registered Representative Examination, or Series 1; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; and the Uniform Securities Agent State Law Examination, or Series 63. He is not currently licensed as a broker with any US state. (Information current as of March 21, 2023.)

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