AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DP

David L. Parks

ASTOR RIDGE N.A. LLP
Rumson, NJ 07760
Some features on this profile are disabled
CRD#: 1579053
DP

Professional summary

David Lawrence Parks, who also goes by David Parks, is a registered financial professional currently at ASTOR RIDGE N.A. LLP located in Rumson, New Jersey.

David is registered as a RR (Registered Representative) and started their career in finance in 1990. David has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Parks

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) - BD

Click below to view David Lawrence Parks's CRS (Customer Relationship Summary).

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

Current

March 15, 2019 - Present

ASTOR RIDGE N.A. LLP

Office #1: 60 Rumson Road, Rumson, NJ 07760
BD
CRD#: 282626
Rumson, NJ
Past

April 17, 2018 - March 11, 2019

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
New York, NY
Past

January 5, 2015 - January 25, 2018

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

May 31, 2010 - January 6, 2015

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

February 20, 2007 - December 20, 2007

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

April 11, 2005 - April 22, 2005

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

April 11, 2005 - January 17, 2007

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

June 3, 2003 - September 3, 2003

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

February 25, 1999 - May 16, 2003

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

April 2, 1998 - September 2, 1998

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 11, 1997 - March 24, 1998

EASTBRIDGE CAPITAL INC.

BD
CRD#: 23858
NEW YORK, NY
Past

October 4, 1993 - February 25, 1997

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 17, 1992 - July 7, 1993

CRT GOVERNMENT SECURITIES, LTD.

BD
CRD#: 19774
Past

April 6, 1990 - July 2, 1992

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(8/26/2025)
RR
New York
(3/15/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AR
ASTOR RIDGE N.A. LLP
ASTOR RIDGE N.A. LLP

CRD#: 282626 / SEC#: , 8-69728

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
60 Rumson Road, Rumson, NJ 07760
Mailing Address
60 Rumson Road, Rumson, NJ 07760
Phone number
(212) 729-8387
Established
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASTOR RIDGE LLPGENERAL PARTNER
BRIGHTON, CHRISTOPHER SLIMITED PARTNER / CCO1966750
GRAY, JOHN CLARKECFO / FINOP1367440
LOCKARD, JAMES CHARLESLIMITED PARTNER1580517
WENTZELL, JOHN LAWRENCELIMITED PARTNER2519139

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

ASTOR RIDGE N.A. LLP

CRD#: 282626Rumson, NJ 07760

TRUST BUT VERIFY

Monitor David Parks

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

SS
Stephen StewartAdvisorCheck Check Mark
CHELSEA ADVISORY SERVICES, INC
IAR
RR
South Ozone Park, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics