Keith A. Parks
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.
Keith A Parks was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2003. Keith had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6, 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
February 4, 2015 - May 2, 2017
JPMORGAN DISTRIBUTION SERVICES, INC.
October 1, 2012 - February 5, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 5, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2008 - January 26, 2010
J.P. MORGAN SECURITIES LLC
February 23, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 21, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 14, 2005 - July 27, 2006
BANC ONE SECURITIES CORPORATION
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 5, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
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
JPMORGAN DISTRIBUTION SERVICES, INC.
CRD#: 104234 / SEC#: , 8-52700
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| BARTA, WENDY KAY | PRESIDENT AND DIRECTOR | 2855534 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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