Jiles Parham
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.
Jiles Parham was a registered financial professional .
Jiles is a previously registered financial professional and started their career in finance in 1984. Jiles had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2013 - May 2, 2014
CAPE SECURITIES INC.
May 3, 2012 - November 30, 2012
ADVANCED ASSET TRADING, INC
July 8, 2011 - March 26, 2012
ALLIED BEACON PARTNERS, INC.
February 10, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
February 28, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
January 6, 2004 - December 31, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 4, 1994 - November 7, 2003
THE O.N. EQUITY SALES COMPANY
June 13, 1984 - November 4, 1994
FORTH FINANCIAL SECURITIES, CORPORATION
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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
