Anne B. 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.
Anne Briggs Parker, who also goes by Anne Parker Dexter, Anne Parker Minnick, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1986. Anne had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2013 - February 7, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
February 8, 2005 - March 21, 2011
TRANSAMERICA INVESTORS SECURITIES, LLC
October 4, 2001 - December 3, 2004
THE KELLEY GROUP, INC.
April 17, 2001 - June 21, 2001
THE KELLEY GROUP, INC.
May 5, 1998 - September 28, 1999
CRESTAR SECURITIES CORPORATION
January 19, 1995 - October 22, 1997
WACHOVIA SECURITIES, INC.
March 19, 1992 - January 26, 1995
FIRST UNION CAPITAL MARKETS CORP.
August 20, 1990 - February 7, 1992
ADVEST, INC.
October 12, 1987 - August 30, 1989
A. G. EDWARDS & SONS, INC.
February 5, 1986 - October 16, 1987
MARION BASS SECURITIES CORPORATION
January 21, 1986 - February 7, 1986
MML INVESTORS SERVICES, LLC
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
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
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.
