Stanley Pargman
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.
Stanley Pargman was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1982. Stanley had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2010 - December 9, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2010 - December 9, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2005 - February 18, 2010
OPPENHEIMER & CO. INC.
January 7, 2005 - February 18, 2010
OPPENHEIMER & CO. INC.
July 1, 2003 - January 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 3, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 15, 2000 - May 2, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 6, 1998 - September 26, 2000
MORGAN STANLEY DW INC.
March 23, 1994 - June 2, 1998
CIBC WORLD MARKETS CORP.
February 13, 1989 - March 10, 1994
CITIGROUP GLOBAL MARKETS INC.
May 29, 1986 - January 24, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 28, 1982 - June 25, 1986
HALPERT AND COMPANY, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
