Robert J. Parker

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CRD#: 1070201

Professional summary

Robert John Parker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Robert had worked at 3 firms, which includes MADISON AVENUE SECURITIES LLC, MONY SECURITIES CORPORATION, NEW ENGLAND SECURITIES.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 31, 2006 - March 23, 2007

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

MULLICA HILL, NJ

Past

August 19, 2002 - July 12, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

July 2, 2002 - August 29, 2002

NEW ENGLAND SECURITIES

RIA

CRD#: 615

WAYNE, PA

Past

November 14, 1994 - August 29, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 6

Date: 11/10/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Mailing Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Phone number

(858) 207-1300

Established

Delaware since 05/05/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MADISON AVENUE SECURITIES FORM ADV PART 2A 3-26-2025 (10/3/2025)

MADISON AVENUE SECURITIES WRAP PROGRAM BROCHURE 3-26-2025 (10/3/2025)

Direct owners and executive officers

Name	Position	CRD#
KT EQUITY PARTNERS II, LLC	DIRECT OWNER
CALLANAN, DAVID JAMES	MEMBER	4237166
FIXSEN, VILAYPHONE	CHIEF OPERATING OFFICER	4585926
FOSTER, CODY GRANT	MEMBER	4237075
JENSEN, GAIL MARIE	DEPUTY CHIEF COMPLIANCE OFFICER	1943705
MCNEES, MARTIN WILLIAM	PRESIDENT	3168410
METCALFE, INC.	OWNER
PIERSON, MELISSA KAY	CHIEF COMPLIANCE OFFICER	1685017
SCHENDEL, JENNIFER	MEMBER	6136948
WOODS, SANDRA ANN	FINOP	6200533

Regulatory assets under management

Total Number of Accounts	14,100
AUM (Assets Under Management)	$ 2,038,801,712

Disclosures

Regulatory Event	8
Arbitration	1

Red Flags

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Robert J. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MONY SECURITIES CORPORATION

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

MADISON AVENUE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 6

Date: 11/10/1994

Current Firm

MADISON AVENUE SECURITIES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MADISON AVENUE SECURITIES, LLC

TRUST BUT VERIFY

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