Philip M. Parrotta
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.
Philip Michael Parrotta JR, who also goes by Philip M Parrotta Jr, Philip M Parrotta, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2008. Philip had worked at 2 firms and has passed the SIE, Series 7 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
October 7, 2010 - February 26, 2015
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 25, 2008 - September 29, 2010
DWS DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| 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.
