Stanley J. 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.
Stanley J. Parker, who also goes by Stan Parker, Stanley Parker, Stanley Plachcinski, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1983. Stanley had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2016 - October 16, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
April 7, 2011 - May 3, 2016
CALDWELL INTERNATIONAL SECURITIES
January 4, 2010 - April 4, 2011
J.P. TURNER & COMPANY, L.L.C.
February 20, 2009 - December 31, 2009
SUMMIT BROKERAGE SERVICES, INC.
December 4, 2007 - March 12, 2009
HALLMARK INVESTMENTS, INC.
March 22, 2005 - December 3, 2007
WESTROCK ADVISORS, INC.
November 27, 2002 - March 23, 2005
KERN, SUSLOW SECURITIES, INC.
January 2, 2002 - December 2, 2002
OPPENHEIMER & CO. INC.
February 17, 1998 - January 2, 2002
PRIME CHARTER LTD.
May 31, 1995 - January 30, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
July 31, 1993 - May 30, 1995
CITIGROUP GLOBAL MARKETS INC.
August 10, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
March 29, 1989 - July 17, 1992
GRUNTAL & CO., L.L.C.
January 6, 1986 - April 19, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 23, 1983 - January 21, 1986
ADVEST, 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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
