Paul Cornette
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 Cornette, who also goes by Paul T Cornette, Paul Timothy Cornette, Paul Cornette, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1995. Paul had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 25, 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
August 16, 2021 - March 20, 2023
RAYMOND JAMES & ASSOCIATES, INC.
July 23, 2021 - March 20, 2023
RAYMOND JAMES & ASSOCIATES, INC.
May 8, 2012 - August 23, 2018
RAYMOND JAMES & ASSOCIATES, INC.
June 24, 2008 - March 27, 2012
COWEN AND COMPANY
March 2, 2005 - September 29, 2005
E*TRADE CLEARING LLC
March 2, 2005 - October 26, 2005
G1 EXECUTION SERVICES, LLC
September 5, 2003 - February 10, 2005
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
June 19, 2002 - September 3, 2003
KELLOGG CAPITAL GROUP LLC
May 1, 2001 - April 11, 2002
J.P. MORGAN SECURITIES INC.
May 15, 1996 - May 1, 2001
JPMSI
May 24, 1995 - May 8, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 55
Date: 6/23/2008
Limited Representative-Equity Trader ExamSeries 25
Date: 3/2/2004
NYSE Trading Assistant ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
