Jerry Parisi Attorney Profile on UpCounsel
Jerry Parisi

Jerry Parisi

Securities Compliance Attorney

Decatur
Georgia
Licensed in
GA
Georgia State University College of Law

"Successfully defended my business in a contract dispute."

5.0 5
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 2 reviews
About
Jerry Parisi is an expert in securities regulatory compliance with in-house experience for one of the largest broker-dealers / registered investment advisors in the US. Jerry worked at the Securities & Exchange Commission (SEC) Enforcement Division during law school and has obtained FINRA Series 7, 24, and NASAA Series 66 licenses. As a qualified General Securities Principal, and experienced Anti-Money Laundering Compliance Officer, Jerry can assist your firm with arbitration, writing and revising policies & procedures, conducting required audits, serving as outsourced CCO or AMLCO, and advising on any securities regulatory compliance… read more issues.
3
Years
experience

Practice Areas

Client Reviews

5.0
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 2 reviews
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Successfully defended my business in a contract dispute."

Litigation
Posted on Feb 23, 2018
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Jerry drafted our firm's Compliance Manual. He is professional, responsive, and his work is top-notch. We will definitely use Jerry again!"

Compliance Manual
Posted on Feb 23, 2018

Work History

PFS Investments Inc.

Attorney

Mar 2016 - Feb 2018

Counseled the firm, registered representatives, and investment advisers on regulatory risk associated with securities activity. Advised the business on legal and regulatory issues and led the implementation of compliance procedures across departments. Drafted and edited written supervisory procedures, compliance programs, training materials, and field-facing bulletins.

Mar 2016 - Feb 2018

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