Individual Firm
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DOMINICK VINCENT PAONESSA
CRD#: 4485797
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 Boca Raton, FL
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4/21/2010
Customer Dispute
Settled
9/8/2006
Customer Dispute
Denied
State Registrations
B
Arizona 8/24/2009
B
New Jersey 12/13/2006
B
California 10/13/2006
B
New York 3/3/2003
B
Colorado 11/3/2008
B
North Carolina 9/11/2018
B
Connecticut 3/6/2008
B
Ohio 6/2/2003
B
District of Columbia 9/10/2014
B
Oregon 5/17/2023
B
Florida 2/11/2002
B
Pennsylvania 7/19/2002
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Florida 12/17/2004
B
Rhode Island 9/3/2008
B
Georgia 5/8/2003
B
South Carolina 3/22/2024
B
Illinois 3/6/2008
IA
Texas 7/18/2011
B
Indiana 3/3/2011
B
Texas 7/25/2011
B
Maryland 6/16/2009
B
Virginia 6/16/2009
B
Massachusetts 3/4/2008
B
Washington 2/18/2015
B
Michigan 9/30/2022
B
Wisconsin 9/13/2018
B
Nevada 3/17/2008
B
Wyoming 8/15/2018
B
New Hampshire 12/11/2015
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 12/17/2004
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Registered with this firm since 2/5/2002
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.