Katherine S. Parker
Professional summary
Katherine Sholes Parker, who also goes by Kathy Parker, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 1985. Katherine has worked at 37 firms and has passed the SIE, Series 99TO, Series 28 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Sholes Parker's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2025 - Present
LUCID CAPITAL MARKETS, LLC
Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006May 17, 2024 - March 10, 2025
ETC BROKERAGE SERVICES, LLC
January 28, 2014 - December 31, 2023
RHODES SECURITIES, INC.
January 9, 2012 - June 2, 2014
EDI FINANCIAL, INC.
June 22, 1994 - December 5, 1994
INTEGRITY INVESTMENT AND SERVICE CORPORATION
March 18, 1994 - May 2, 1994
SBK-BROOKS INVESTMENT CORP.
September 28, 1993 - May 9, 1994
INTEGRITY INVESTMENT AND SERVICE CORPORATION
April 8, 1993 - May 2, 1994
BROOKS SECURITIES, INCORPORATED
November 12, 1992 - April 21, 1993
SUNPOINT SECURITIES, INC.
August 28, 1992 - September 11, 1993
T.L. GROUP, INC.
May 26, 1992 - July 20, 1994
INVEX, LLC.
April 8, 1992 - November 2, 1994
RHODES SECURITIES, INC.
April 4, 1991 - April 6, 1993
BBVA SECURITIES INC.
February 22, 1991 - April 26, 1995
WFG INVESTMENTS, INC.
February 6, 1991 - January 28, 1992
CITADEL FINANCIAL MARKETS, INC.
January 25, 1991 - January 29, 1991
REALIZED FINANCIAL, INC.
October 24, 1990 - April 26, 1995
SOUTHWESTERN CAPITAL MARKETS, INC.
August 28, 1990 - August 20, 1993
ESTRADA HINOJOSA & COMPANY, INC.
March 9, 1990 - April 15, 1993
DOVIAK SECURITIES, INC.
December 14, 1989 - May 4, 1993
AMERICA/SOUTHWESTERN SECURITIES GROUP, INC.
October 3, 1989 - February 17, 1995
UNICAPITAL SECURITIES CORP.
September 20, 1989 - October 9, 1989
PROSPERA FINANCIAL SERVICES, INC.
September 1, 1989 - November 1, 1989
BULLISH BOB BAGLEY SECURITIES, INC.
July 5, 1989 - November 16, 1989
FIRST DALLAS SECURITIES INCORPORATED
June 26, 1989 - July 17, 1990
REALIZED FINANCIAL, INC.
May 24, 1989 - December 7, 1989
VIKING FINANCIAL, INC.
May 5, 1989 - December 18, 1989
BRIDGEROCK SECURITIES, INC.
February 28, 1989 - July 24, 1990
FRIEDMAN, LUZZATTO & CO.
February 2, 1989 - March 20, 1989
SOUTHWEST DIVERSIFIED INVESTMENT CORP.
November 3, 1988 - March 23, 1990
VAN NOSTRAND & BECK INVESTMENTS, INC.
August 25, 1988 - April 25, 1989
DOVIAK SECURITIES, INC.
July 11, 1988 - August 9, 1988
T.L. GROUP, INC.
January 1, 1988 - February 13, 1989
ALLEGIS FINANCIAL INVESTMENT CORPORATION
February 10, 1987 - June 2, 1987
ASHFORD SECURITIES CORPORATION
February 6, 1987 - June 24, 1988
GROUP NINE SECURITIES CORPORATION
December 5, 1986 - February 18, 1987
ADVANTAGE SECURITIES, INC.
November 4, 1986 - April 26, 1995
S&P INVESTORS, INC.
October 21, 1986 - June 24, 1988
PRIVATE BROKERS CORPORATION
October 6, 1986 - November 12, 1987
MILKIE/FERGUSON INVESTMENTS, INC.
April 25, 1986 - March 19, 1987
MOMENTUM INDEPENDENT NETWORK INC.
November 5, 1985 - February 21, 1995
HARRIS SECURITIES, INC.
August 2, 1985 - June 4, 1986
HILLTOP SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/7/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
LUCID CAPITAL MARKETS, LLC
CRD#: 140345 / SEC#: , 8-67305
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
