Dianne M. Parisi
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.
Dianne Marie Parisi, who also goes by Dianne M Parisi, was a registered financial professional .
Dianne is a previously registered financial professional and started their career in finance in 2003. Dianne had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 53 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
November 24, 2009 - March 28, 2017
H. C. DENISON CO.
October 13, 2003 - December 31, 2008
KCD FINANCIAL, INC.
February 11, 2003 - May 12, 2003
PACKERLAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
H. C. DENISON CO.
CRD#: 1628 / SEC#: 801-131334, 8-44
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
H. C. DENISON CO.
CRD#: 1628 / SEC#: 801-131334, 8-44
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 541 |
| AUM (Assets Under Management) | $ 177,342,193 |
Disclosures
| Regulatory Event | 3 |
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.
