SP
Samuel D. Parker Jr.
ARAX ADVISORY PARTNERS
Austin , TX 78701
Some features on this profile are disabled
CRD#: 1583674
SP
Samuel D Parker Jr.ARAX ADVISORY PARTNERS
Professional summary
Samuel D Parker Jr., who also goes by Sam Parker, Samuel D Parker Jr, Samuel Darby Parker Jr, Samuel Parker, Samuel Darby Parket Jr, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Austin , Texas and USCA SECURITIES LLC located in Austin, Texas.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Samuel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Aliases
Sam Parker | Samuel D Parker Jr | Samuel Darby Parker Jr | Samuel Parker | Samuel Darby Parket Jr
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.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel D Parker Jr.'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®
NoneExperience
Current
July 19, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 300 West 6th Street Suite 1900, Austin , TX 78701RIA
CRD#: 133535
Austin , TX
Current
June 3, 2024 - Present
USCA SECURITIES LLC
Office #1: 300 W. 6th Street Suite 1900, Austin, TX 78701BD
CRD#: 103789
AUSTIN, TX
Past
June 3, 2024 - July 21, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
HOUSTON, TX
Past
June 25, 2002 - July 3, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN ANTONIO, TX
Past
July 1, 1994 - July 3, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN ANTONIO, TX
Past
July 31, 1993 - July 18, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
December 23, 1986 - April 21, 1988
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(6/3/2024)
RR
Alaska(6/3/2024)
RR
Arizona(6/3/2024)
RR
Arkansas(6/3/2024)
RR
California(6/3/2024)
RR
Colorado(6/3/2024)
RR
Connecticut(6/3/2024)
RR
Delaware(6/3/2024)
RR
District of Columbia(6/3/2024)
RR
Florida(6/3/2024)
RR
Georgia(6/3/2024)
RR
Hawaii(6/3/2024)
RR
Idaho(6/3/2024)
RR
Illinois(7/31/2024)
RR
Indiana(6/3/2024)
RR
Iowa(6/3/2024)
RR
Kansas(6/3/2024)
RR
Kentucky(6/3/2024)
RR
Louisiana(6/3/2024)
RR
Maine(6/3/2024)
RR
Maryland(6/3/2024)
RR
Massachusetts(6/3/2024)
RR
Michigan(6/3/2024)
RR
Minnesota(6/3/2024)
RR
Mississippi(6/3/2024)
RR
Missouri(6/3/2024)
RR
Montana(6/3/2024)
RR
Nebraska(6/3/2024)
RR
Nevada(6/3/2024)
RR
New Hampshire(6/3/2024)
RR
New Jersey(6/3/2024)
RR
New Mexico(6/3/2024)
RR
New York(6/3/2024)
RR
North Carolina(6/3/2024)
RR
North Dakota(6/3/2024)
RR
Ohio(6/4/2024)
RR
Oklahoma(6/3/2024)
RR
Oregon(6/3/2024)
RR
Pennsylvania(6/3/2024)
RR
Puerto Rico(11/14/2024)
RR
Rhode Island(6/3/2024)
RR
South Carolina(6/3/2024)
RR
South Dakota(6/3/2024)
RR
Tennessee(6/3/2024)
RR
Texas(6/3/2024)
IAR
Texas(7/19/2026)
RR
Utah(6/3/2024)
RR
Vermont(6/3/2024)
RR
Virgin Islands(6/3/2024)
RR
Virginia(6/3/2024)
RR
Washington(6/3/2024)
RR
West Virginia(6/3/2024)
RR
Wisconsin(6/3/2024)
RR
Wyoming(6/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/26/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
Red Flags
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Company Information
ARAX ADVISORY PARTNERS
CRD#: 133535Austin , TX 78701TRUST BUT VERIFY
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Contact information
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