Paul I. Comi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Israel Comi, who also goes by Paul I. Comi, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 20 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2022 - March 31, 2023
SORRENTO PACIFIC FINANCIAL, LLC
March 24, 2022 - March 31, 2023
SCF SECURITIES, INC.
March 24, 2022 - March 31, 2023
NEXT FINANCIAL GROUP, INC.
March 24, 2022 - March 31, 2023
CUSO FINANCIAL SERVICES, L.P.
March 24, 2022 - March 31, 2023
CADARET, GRANT & CO., INC.
May 29, 2018 - March 31, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
August 22, 2008 - March 31, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
June 6, 2008 - June 11, 2008
HUNTER WORLD MARKETS, INC.
March 13, 2006 - February 1, 2008
AFA FINANCIAL GROUP, LLC
June 14, 2005 - March 14, 2006
FINANCE 500, INC.
November 15, 2004 - April 12, 2005
BATTENKILL CAPITAL, INC.
November 20, 2003 - November 1, 2004
NEWPOINT SECURITIES, LLC
October 22, 2002 - November 15, 2005
MONITOR CAPITAL INC.
May 3, 1999 - April 16, 2002
NATIONAL SECURITIES CORPORATION
January 14, 1999 - April 15, 1999
INTERFIRST CAPITAL CORPORATION
March 5, 1998 - June 6, 1998
INTERFIRST CAPITAL CORPORATION
October 7, 1997 - February 26, 1998
FINANCE 500, INC.
March 19, 1997 - August 8, 1997
MAXWELL CAPITAL, INC.
July 20, 1995 - March 6, 1997
INTERFIRST CAPITAL CORPORATION
June 16, 1995 - July 14, 1995
SHAMROCK PARTNERS, LTD
March 14, 1995 - June 30, 1995
WS CLEARING, INC.
July 16, 1993 - February 27, 1995
AMERINATIONAL FINANCIAL SERVICES, INC.
February 21, 1990 - May 27, 1993
REYNOLDS KENDRICK STRATTON, INC.
March 21, 1989 - February 21, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
