James V. Pardy
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.
James Vincent Pardy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - May 5, 2023
JOSEPH STONE CAPITAL L.L.C.
October 29, 2008 - February 26, 2013
FIRST MIDWEST SECURITIES, INC.
May 21, 2007 - October 17, 2008
J.P. TURNER & COMPANY, L.L.C.
September 6, 2006 - June 8, 2007
REID & RUDIGER LLC
October 28, 2005 - September 6, 2006
J.P. TURNER & COMPANY, L.L.C.
September 27, 2004 - October 28, 2005
BRUNDYN SECURITIES INC.
December 3, 1998 - September 21, 2004
MILESTONE GROUP MANAGEMENT LLC
August 18, 1997 - January 14, 1998
AVANTAX INVESTMENT SERVICES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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