AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KP

Kimberly A. Parrish

Some features on this profile are disabled
CRD#: 2546083
KP

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.

Kimberly Austin Parrish, who also goes by Kimberly A. Austin, Kimberly Anne Austin, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2005. Kimberly had worked at 1 firm and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly A. Austin | Kimberly Anne Austin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 30, 2010 - June 8, 2012

JDL SECURITIES CORPORATION

BD
CRD#: 28131
NEWPORT BEACH, CA
Past

February 11, 2005 - September 30, 2009

JDL SECURITIES CORPORATION

BD
CRD#: 28131
NEWPORT BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2005
General Securities Representative Examination

Current Firm

JS
JDL SECURITIES CORPORATION
JDL AND CO., INC. | JDL SECURITIES CORPORATION

CRD#: 28131 / SEC#: , 8-43494

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1001 Dove Street, Suite 160, Newport Beach, CA 92660-2816
Mailing Address
1001 Dove Street, Suite 160, Newport Beach, CA 92660-2816
Phone number
(949) 752-5206
Established
California since 01/15/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.DEREK LEWIS & ASSOCIATES, INC.PARENT COMPANY122307
DALBY, RION JAMESREGISTERED REP5122686
DUNAGAN, KELLY ALLAN JR.REGISTERED REP4777170
ESPINILI, KATHRYN ELIZABETHCHIEF COMPLIANCE OFFICER1220070
FERDI, MARK ANTHONYREGISTERED REP7146341
GREENLEAF, RENY VESSELA MCHIEF FINANCIAL OFFICER5479673
HYEPOCK, DOUGLAS GLENNSECRETARY, DIRECTOR2282539
KNUTSEN, ROBERT WAYNE IICEO5639871
VIDAL, ANDREW JOSEPHREGISTERED REP6877943

Disclosures

Regulatory Event1

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.

Company Information

JDL SECURITIES CORPORATION

CRD#: 28131

TRUST BUT VERIFY

Monitor Kimberly Parrish

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics