Janice Parise

Janice Parise has more than 30 years of experience in the financial services field. She specializes in the highly regulated broker-dealer environment, having strong knowledge of the SEC net capital and books & records rules and reporting requirements. Janice’s former positions include senior roles at various financial institutions. Janice is a CPA and FINRA Registered Financial and Operations Principal (Series 27). She is vice-chair of the Stock Brokerage Committee, as well as a member of the FINRA Series 27 Exam Review Committee and the FINRA FinOp Working Group. She earned a Bachelor of Science in Accounting from CUNY – Queens College.