Louis 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.
Louis A. Parks, who also goes by Louis A Parks, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1981. Louis had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2015 - September 8, 2018
EQUUS FINANCIAL CONSULTING LLC
June 3, 2010 - January 2, 2014
C. L. KING & ASSOCIATES, INC.
February 4, 1997 - May 7, 2010
RAYMOND JAMES & ASSOCIATES, INC.
March 23, 1993 - February 12, 1997
SANFORD C. BERNSTEIN & CO., INC.
October 19, 1987 - April 2, 1993
MORGAN STANLEY & CO. LLC
September 26, 1981 - October 20, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 1/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EQUUS FINANCIAL CONSULTING LLC
CRD#: 131449 / SEC#: , 8-66467
Contact information
FINRA licenses (50 States and Territories)
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.
