Barbara J. Parshall
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.
Barbara Jean Parshall, who also goes by Barbara Parshall, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1992. Barbara had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2015 - January 14, 2016
NATIONAL FINANCIAL SERVICES LLC
April 7, 2014 - January 13, 2016
FIDELITY BROKERAGE SERVICES LLC
June 30, 2010 - January 5, 2011
PERSHING ADVISOR SOLUTIONS LLC
June 1, 2007 - June 7, 2010
CHARLES SCHWAB & CO., INC.
August 17, 2004 - February 15, 2007
J.P. MORGAN CLEARING CORP.
August 17, 2004 - February 15, 2007
J.P. MORGAN SECURITIES LLC
June 17, 1996 - July 19, 2004
FIDELITY BROKERAGE SERVICES LLC
October 27, 1994 - September 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 1992 - October 21, 1994
LEHMAN BROTHERS 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
Series 8
Date: 11/12/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
