Michael S. Parris
Professional summary
Michael Stclair Parris, who also goes by Michael St Clair Parris, is a registered financial professional currently at NASDAQ EXECUTION SERVICES, LLC located in Philadelphia, Pennsylvania.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Stclair Parris's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2006 - Present
NASDAQ EXECUTION SERVICES, LLC
Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104Office #2: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104May 17, 2007 - April 11, 2014
NASDAQ CAPITAL MARKETS ADVISORY LLC
February 26, 2003 - June 9, 2004
INSTINET, LLC
September 10, 1998 - February 1, 2006
INET ATS, INC.
January 24, 1997 - March 4, 1998
MAY, DAVIS GROUP INC.
June 22, 1995 - March 14, 1996
H.J. MEYERS & CO., INC.
February 3, 1995 - June 29, 1995
COMMONWEALTH ASSOCIATES
September 20, 1993 - February 8, 1995
BERKELEY SECURITIES CORPORATION
September 21, 1992 - September 20, 1993
J. GREGORY & COMPANY, INC.
May 29, 1992 - September 25, 1992
MELBOURNE GSI CORP.
January 24, 1991 - June 3, 1991
GILFORD SECURITIES INCORPORATED
September 22, 1987 - November 24, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/1/2006)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/13/1999
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NASDAQ EXECUTION SERVICES, LLC
CRD#: 7270 / SEC#: , 8-37329
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
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.
