James E. Parkman
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.
James Edward Parkman JR, who also goes by Jim Parkman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 22, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - September 16, 2024
PARKMAN WHALING SECURITIES LLC
November 21, 2007 - April 3, 2008
PEMBROKE FINANCIAL PARTNERS LLC
September 30, 2005 - December 13, 2006
HOUSTON ENERGY ADVISORS, LLC
May 2, 1990 - June 29, 2006
ML PETRIE PARKMAN CO., INC.
September 1, 1988 - March 8, 1989
CREDIT SUISSE SECURITIES (USA) 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 8/31/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
PARKMAN WHALING SECURITIES LLC
CRD#: 145342 / SEC#: , 8-67723
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL, BRUCE EMERSON III | CHIEF COMPLIANCE OFFICER | 5459992 |
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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