Mark P. Parisi
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.
Mark Peter Parisi was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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
August 22, 2022 - February 2, 2026
SHOPOFF SECURITIES, INC.
November 9, 2021 - August 5, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 1, 2021 - August 2, 2022
FIDELITY BROKERAGE SERVICES LLC
June 14, 2018 - November 4, 2020
TERRA CAPITAL MARKETS LLC
December 10, 2015 - May 7, 2018
TERRA CAPITAL MARKETS LLC
July 23, 2013 - July 8, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
July 11, 2013 - July 8, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
July 24, 2012 - July 11, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 23, 2012 - July 11, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 29, 2010 - July 10, 2012
LPL FINANCIAL LLC
April 16, 2009 - July 10, 2012
LPL FINANCIAL LLC
February 28, 2002 - January 21, 2005
TD WEALTH MANAGEMENT SERVICES INC.
January 30, 2002 - March 5, 2002
ESSEX NATIONAL SECURITIES, LLC
October 8, 1999 - January 4, 2002
BNY INVESTMENT CENTER INC.
February 1, 1999 - November 3, 1999
ESSEX NATIONAL SECURITIES, LLC
October 21, 1998 - February 9, 1999
SUMMIT FINANCIAL SERVICES GROUP, INC.
December 17, 1997 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
March 22, 1996 - October 1, 1997
CONSECO SECURITIES, INC.
August 1, 1994 - March 30, 1995
1717 CAPITAL MANAGEMENT COMPANY
August 5, 1993 - May 6, 1994
NEW ENGLAND SECURITIES
February 9, 1987 - July 20, 1993
PRUCO SECURITIES, LLC.
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
SHOPOFF SECURITIES, INC.
CRD#: 142866 / SEC#: , 8-67499
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SHOPOFF REVOCABLE TRUST DATED 8/12/2004 | OWNER | |
| MERRIMAN, JO ALMA | CHIEF OPERATING OFFICER | 7346895 |
| SHOPOFF, CINDY MILAM | TRUSTEE | 5380583 |
| SHOPOFF, WILLIAM ANTHONY | CHIEF COMPLIANCE OFFICER / AML-CO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | PRESIDENT/CEO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | TRUSTEE | 1273471 |
| SHUMBERG, IVANA M | FINOP | 3167225 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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