Paula A. Daviespalmieri
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.
Paula Ann Daviespalmieri, who also goes by Paula A Davies, Paula A Palmieridavies, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1991. Paula had worked at 1 firm and has passed the Series 52 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1991 - September 21, 1993
J.J. KENNY DRAKE, INC.
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
J.J. KENNY DRAKE, INC.
CRD#: 7118 / SEC#: , 8-19090
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD & POOR'S SECURITIES EVALUATIONS., INC. | 100% PARENT OF APPLICANT | |
| BAHASH,ROBERT,JOSEPH | DIRECTOR | |
| BYRAM, PETER CHARLES | PRESIDENT,EXECUTIVE DIRECTOR OF TRADING | 501637 |
| BYRAM, PETER CHARLES | CHIEF COMPLIANCE OFFICER | 501637 |
| DORAN, STEPHEN GEOFFREY | FINANCIAL PRINCIPAL | 1853819 |
| KAUFMAN,FRANK,JOSEPH | VICE PRESIDENT | |
| KRANENBURG, HENDRIK J. | DIRECTOR, CHAIRMAN | |
| MILANO, PATRICK | VICE PRESIDENT | |
| NEMETZ, ANNE C | SR. VP ASSOCIATE DIRECTOR OF TRADING | 502680 |
| ONEILL, LEO CHARLES | DIRECTOR | 3242460 |
| PENGLASE,FRANK,DENNIS | TREASURER |
Disclosures
| Regulatory Event | 1 |
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.
