Joseph I. Paras
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.
Joseph Ismael Paras, who also goes by Joe Ismael Paras, Joe Paras, Joey Ismael Paras, Joey Paras, Joseph I Paras, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 14 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2010 - May 20, 2013
TD AMERITRADE, INC.
August 17, 2010 - May 20, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 11, 2010 - May 20, 2013
TD AMERITRADE, INC.
January 6, 2005 - June 15, 2010
CHARLES SCHWAB & CO., INC.
November 4, 2004 - June 15, 2010
CHARLES SCHWAB & CO., INC.
March 18, 2004 - August 11, 2004
CHARLES SCHWAB & CO., INC.
June 16, 2003 - October 28, 2003
CHARLES SCHWAB & CO., INC.
August 19, 1998 - December 31, 2002
CHARLES SCHWAB & CO., INC.
October 24, 1997 - June 8, 1998
ON-SITE TRADING, INC.
April 10, 1997 - July 16, 1997
NATIONAL CLEARING CORP.
January 10, 1997 - April 8, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
September 21, 1995 - November 6, 1996
ALL-TECH DIRECT, INC.
May 1, 1995 - May 26, 1995
TD AMERITRADE, INC.
November 14, 1994 - April 27, 1995
GRODSKY ASSOCIATES, INC.
July 26, 1994 - August 24, 1994
BUTTONWOOD SECURITIES, INC.
March 24, 1994 - July 14, 1994
JANNEY MONTGOMERY SCOTT LLC
January 10, 1994 - March 25, 1994
INVESTORS ASSOCIATES, INC.
December 10, 1993 - December 23, 1993
REICH & CO., INC.
June 10, 1993 - October 27, 1993
MARSH, BLOCK & CO. INC.
January 25, 1993 - March 19, 1993
H.J. MEYERS & CO., 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
