Paul L. Sirois
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 Leo Sirois was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2000. Paul had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2011 - December 31, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 7, 2011 - December 31, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 28, 2005 - May 20, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 14, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 14, 2004 - May 13, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 20, 2000 - May 18, 2004
EQUITABLE ADVISORS, LLC
August 31, 2000 - May 18, 2004
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
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.
