Paul J. Leighton

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CRD#: 1175642

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 Joseph Leighton was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

CRI SECURITIES, LLC

CRD#: 22589

MINNEAPOLIS, MN

Past

August 23, 1983 - September 21, 1988

CONSOLIDATED RESOURCES, INC.

CRD#: 13747

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".

CORDIS FINANCIAL, LLC

CRD#: 294766 / SEC#: 801-113230

RIA

Registered Investment Advisory firm - (5/15/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 9/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

CORDIS FINANCIAL, LLC

CRD#: 294766 / SEC#: 801-113230

RIA

Registered Investment Advisory firm - (5/15/2018 Approved)

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Contact information

Main Address

3001 Broadway Street Ne Suite 100, Minneapolis, MN 55413

Mailing Address

Phone number

(612) 268-2620

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORDIS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/3/2025)

Regulatory assets under management

Total Number of Accounts	851
AUM (Assets Under Management)	$ 317,629,656

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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Firm Stability Insights

Paul J. Leighton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

MARATHON ADVISORS, INC

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

CONSOLIDATED RESOURCES, INC.

Primary Firm SEC Registration

CORDIS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/1983

SIE

Date: 7/6/2018

Series 7

Date: 8/20/1983

Current Firm

CORDIS FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORDIS FINANCIAL, LLC

TRUST BUT VERIFY

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