Juan J. Jimenez
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.
Juan Jose Jimenez was a registered financial advisor .
Juan is a previously registered financial advisor and started their career in finance in 1996. Juan had worked at 6 firms and has passed the Series 65, 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
December 2, 2009 - December 2, 2013
WHITEHALL-PARKER SECURITIES, INC.
December 2, 2009 - December 2, 2013
WHITEHALL-PARKER SECURITIES, INC.
November 4, 2009 - November 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
November 4, 2009 - November 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 3, 2006 - November 5, 2009
WELLS FARGO INVESTMENTS, LLC
July 3, 2006 - November 5, 2009
WELLS FARGO INVESTMENTS, LLC
May 23, 2000 - July 10, 2006
PIPER SANDLER & CO.
October 11, 1999 - April 15, 2003
U.S. BANCORP INVESTMENTS, INC.
September 3, 1997 - March 10, 1998
U.S. BANCORP INVESTMENTS, INC.
December 16, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
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
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
