Alessandro Paterno
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.
Alessandro Paterno, who also goes by Alex Paterno, was a registered financial professional .
Alessandro is a previously registered financial professional and started their career in finance in 2004. Alessandro had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 31 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
August 10, 2016 - March 30, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 10, 2016 - March 30, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 4, 2013 - April 19, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 30, 2013 - April 19, 2016
TD AMERITRADE, INC.
January 30, 2013 - April 19, 2016
TD AMERITRADE, INC.
July 11, 2011 - January 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2011 - January 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 2008 - July 31, 2009
HSBC SECURITIES (USA) INC.
August 6, 2008 - July 31, 2009
HSBC SECURITIES (USA) INC.
June 19, 2007 - July 16, 2008
CHASE INVESTMENT SERVICES CORP.
June 14, 2007 - July 16, 2008
CHASE INVESTMENT SERVICES CORP.
April 2, 2007 - April 20, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - April 20, 2007
MORGAN STANLEY & CO. LLC
February 1, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
February 1, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
February 7, 2005 - February 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 2004 - February 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
