Nan M. Parker
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.
Nan Mcgrenera Parker, who also goes by Nan Parker, Nan M Parker, was a registered financial professional .
Nan is a previously registered financial professional and started their career in finance in 1982. Nan had worked at 4 firms and has passed the Series 66, Series 63, Series 7, SIE 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 6, 2018 - June 3, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 2, 2018 - June 2, 2020
FIDELITY BROKERAGE SERVICES LLC
January 5, 1995 - February 9, 2016
STRATEGIC ADVISERS LLC
September 29, 1989 - February 8, 2016
FIDELITY BROKERAGE SERVICES LLC
April 3, 1989 - May 16, 1989
FIDELITY BROKERAGE SERVICES LLC
February 25, 1982 - August 10, 1987
MORGAN STANLEY DW INC.
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 8
Date: 4/13/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
