Janice D. Parise
Professional summary
Janice Dru Parise, who also goes by Janice Parise, is a registered financial professional currently at BAILLIE GIFFORD FUNDS SERVICES LLC and ASSETPOINT FINANCIAL, LLC located in Arlington, Virginia.
Janice is registered as a RR (Registered Representative) and started their career in finance in 2000. Janice has worked at 39 firms and has passed the Series 99TO, SIE, Series 7, Series 27 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Janice Dru Parise's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 2, 2015 - Present
BAILLIE GIFFORD FUNDS SERVICES LLC
Office #1: Calton Square 1 Greenside Row, Edinburgh, EH1 3ANOffice #2: Calton Square 1 Greenside Row, Edinburgh, EH1 3ANApril 27, 2015 - Present
ASSETPOINT FINANCIAL, LLC
Office #1: 1300 North 17th Street Suite 1800, Arlington, VA 22209-3810December 23, 2016 - Present
SHOREBRIDGE CAPITAL SECURITIES, LLC
Office #1: 350 Springfield Avenue Suite #200, Summit, NJ 07901December 1, 2017 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor, New York, NY 10022April 17, 2018 - Present
LIONTREE ADVISORS LLC
Office #1: 745 Fifth Avenue 15th Floor, New York, NY 10151August 20, 2019 - Present
WINTERFLOOD SECURITIES US CORPORATION
Office #1: 1460 Broadway 9th Floor, New York, NY, 10036October 19, 2020 - Present
AGILE TRADING TECHNOLOGIES, LLC
Office #1: 2 Town Place Ste 210, Bryn Mawr, PA 19010April 5, 2021 - Present
FIGURE SECURITIES, INC.
Office #1: 650 California Street Suite 200, San Francisco, CA 94108May 11, 2021 - Present
BITOODA TECHNOLOGIES LLC
June 14, 2021 - Present
CLEARLIST SECURITIES LLC
Office #1: 40 Wall Street 38th Floor, New York, NY 10005June 14, 2021 - Present
CLEARLIST LLC
Office #1: 40 Wall Street 38th Floor, New York, NY 10005May 16, 2022 - May 10, 2023
INDEPENDENCE POINT SECURITIES LLC
June 1, 2021 - July 15, 2024
SECURITIZE MARKETS, LLC
March 24, 2021 - January 3, 2022
OPEN TO THE PUBLIC INVESTING, INC.
July 9, 2018 - August 27, 2018
GMS GROUP
February 9, 2018 - June 28, 2018
INDEPENDENT BROKERAGE SOLUTIONS LLC
July 19, 2017 - June 12, 2018
BHARGAVA CAPITAL
March 1, 2017 - July 2, 2019
SILVER LEAF PARTNERS, LLC
January 9, 2017 - June 30, 2017
GLOBAL OAK CAPITAL MARKETS LLC
November 23, 2015 - May 11, 2016
MAN INVESTMENTS INC.
May 1, 2015 - August 22, 2016
EASTGATE SECURITIES, LLC
April 28, 2015 - April 13, 2016
INDEPENDENT BROKERAGE SOLUTIONS LLC
October 9, 2014 - April 12, 2021
MACRO RISK ADVISORS LLC
August 1, 2014 - June 1, 2015
BARCLAY INVESTMENTS LLC
September 3, 2013 - February 1, 2014
NEWOAK CAPITAL MARKETS LLC
September 3, 2013 - March 15, 2016
TORCH PARTNERS CORPORATE FINANCE INC
August 29, 2013 - March 6, 2017
BHARGAVA CAPITAL
October 9, 2012 - April 6, 2015
PINE SECURITIES USA LLC
June 26, 2012 - July 3, 2013
MAN INVESTMENTS INC.
March 14, 2012 - April 26, 2013
INDEPENDENT BROKERAGE SOLUTIONS LLC
March 12, 2012 - March 14, 2016
PEEL HUNT INC.
October 27, 2011 - April 25, 2014
WINTERFLOOD SECURITIES INCORPORATED
September 1, 2011 - January 7, 2014
CGIS SECURITIES LLC
July 11, 2011 - July 23, 2018
BTG PACTUAL US CAPITAL, LLC
June 8, 2011 - March 19, 2014
SKYWORKS SECURITIES, LLC
March 16, 2011 - May 9, 2016
CAIS CAPITAL LLC
February 9, 2011 - December 23, 2021
OLIVETREE FINANCIAL, LLC
January 10, 2011 - March 31, 2016
HOVDE GROUP, LLC
March 31, 2010 - September 16, 2010
NEWOAK CAPITAL MARKETS LLC
May 9, 2006 - June 30, 2009
KELLOGG CAPITAL GROUP LLC
May 9, 2006 - November 2, 2009
KELLOGG CAPITAL MARKETS, LLC
May 9, 2006 - November 3, 2009
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
January 4, 2002 - December 18, 2003
KENNY & CO., LLC
July 12, 2001 - May 5, 2006
VAN DER MOOLEN SPECIALISTS USA, LLC
October 1, 2000 - August 1, 2001
SCAVONE, MCKENNA, CLOUD & COL, 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
(4/17/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 14A
Date: 7/25/1994
Compliance Official Specialist ExamFINRA
Current Firm
CLEARLIST LLC
CRD#: 308066 / SEC#: , 8-70504
Contact information
FINRA licenses (3 States and Territories)
Red Flags
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