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William M. Parrott

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CRD#: 1428685
WP

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.

William Michael Parrott, who also goes by Michael Parrott, Mike Parrott, William Parrott, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1986. William had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Parrott | Mike Parrott | William Parrott

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

September 5, 2014 - July 14, 2015

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

BD
CRD#: 8494
ST. PETERSBURG, FL
Past

October 12, 2004 - September 11, 2012

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
SARASOTA, FL
Past

October 6, 2004 - September 11, 2012

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SARASOTA, FL
Past

April 14, 1999 - April 2, 2003

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
JACKSONVILLE, FL
Past

April 8, 1999 - April 2, 2003

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

September 2, 1998 - January 8, 1999

SEARS. THOMPSON INVESTMENT GROUP, INC.

BD
CRD#: 7351
JACKSONVILLE, FL
Past

September 4, 1997 - August 20, 1998

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

November 7, 1994 - August 29, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

January 28, 1992 - May 20, 1994

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

February 24, 1986 - January 3, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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.

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/14/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/21/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MT
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
FIRST DISCOUNT SECURITIES CORP. | MUTUAL TRUST COMPANY OF AMERICA SECURITIES | MUTUAL TRUST COMPANY OF AMERICA | MUTUAL TRUST CO. OF AMERICA SECURITIES | FIRST FEDERAL SECURITIES, INC.

CRD#: 8494 / SEC#: , 8-25547

BD
Terminated by SEC on 12/13/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/24/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BANDES, JED EPRESIDENT722806
BANDES, JED ECHIEF COMPLIANCE OFFICER722806

Disclosures

Regulatory Event5

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.

Company Information

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

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