Tom G. Parks
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.
Tom Gilliam Parks JR, who also goes by Gil Parks, Tom Parks, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1987. Tom had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 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
April 25, 1994 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
February 2, 1994 - April 4, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
December 11, 1993 - July 3, 2006
IDS LIFE INSURANCE COMPANY
December 11, 1993 - April 4, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 1992 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 27, 1990 - October 6, 1992
SIGNAL SECURITIES, INC.
March 2, 1987 - September 5, 1990
CULLUM & SANDOW 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
Current Firm
AMERICAN EXPRESS SERVICE CORPORATION
CRD#: 10518 / SEC#: , 8-27456
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
