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CP

Christopher F. Parisi

CARL MARKS SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 4582582
CP

Professional summary

Christopher Francis Parisi is a registered financial professional currently at CARL MARKS SECURITIES LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2002. Christopher has worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 79TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Christopher Francis Parisi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 22, 2020 - Present

CARL MARKS SECURITIES LLC

Office #1: 900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
BD
CRD#: 144209
NEW YORK, NY
Past

September 24, 2013 - January 25, 2016

ACC SECURITIES, LLC

BD
CRD#: 167019
NEW YORK, NY
Past

December 3, 2010 - September 30, 2011

HUDSON CAPITAL ADVISORS BD LLC

BD
CRD#: 132424
SANTA MONICA, CA
Past

April 28, 2005 - December 15, 2008

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

September 30, 2002 - September 17, 2004

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/5/2020)
RR
Arizona
(9/21/2020)
RR
Arkansas
(7/13/2022)
RR
California
(9/5/2020)
RR
Colorado
(9/5/2020)
RR
Connecticut
(9/5/2020)
RR
Delaware
(7/13/2022)
RR
District of Columbia
(9/5/2020)
RR
Florida
(9/5/2020)
RR
Georgia
(9/5/2020)
RR
Illinois
(9/5/2020)
RR
Indiana
(7/13/2022)
RR
Iowa
(7/13/2022)
RR
Kansas
(7/13/2022)
RR
Louisiana
(7/13/2022)
RR
Maine
(11/16/2020)
RR
Maryland
(9/21/2020)
RR
Massachusetts
(7/15/2020)
RR
Michigan
(9/22/2020)
RR
Missouri
(9/5/2020)
RR
Nebraska
(9/21/2020)
RR
Nevada
(9/21/2020)
RR
New Jersey
(9/5/2020)
RR
New Mexico
(9/21/2020)
RR
New York
(7/15/2020)
RR
North Carolina
(9/5/2020)
RR
Ohio
(9/22/2020)
RR
Oklahoma
(9/21/2020)
RR
Oregon
(7/26/2022)
RR
Pennsylvania
(9/5/2020)
RR
South Carolina
(9/21/2020)
RR
Tennessee
(9/5/2020)
RR
Texas
(9/5/2020)
RR
Utah
(9/5/2020)
RR
Virginia
(9/5/2020)
RR
Washington
(9/5/2020)
RR
Wisconsin
(9/5/2020)
RR
Wyoming
(9/21/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 10/1/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/22/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CARL MARKS SECURITIES LLC
CARL MARKS SECURITIES LLC | CARL MARKS SECURITIES, LLC

CRD#: 144209 / SEC#: , 8-67642

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
Mailing Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
Phone number
(212) 909-8400
Established
New York since 05/25/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 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#
CARL MARKS ADVISORY GROUP LLCMEMBER
CLASTER, MARK LEEPRESIDENT721112
ROBERTS, JON HAROLD JR.CHIEF COMPLIANCE OFFICER5229666
SPEER, ROBERT ALANCFO, FINOP4519468
TOMASKOVIC, EVAN MICHAELCEO3262911

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

CARL MARKS SECURITIES LLC

CRD#: 144209New York, NY 10022

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