Lorraine A. 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.
Lorraine Ann Parker, who also goes by Lorraine A Parker, was a registered financial professional .
Lorraine is a previously registered financial professional and started their career in finance in 1986. Lorraine had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 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
May 6, 2009 - April 11, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 17, 2008 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 8, 2008 - April 11, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 2006 - October 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2006 - October 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 6, 1993 - May 25, 2006
UBS FINANCIAL SERVICES INC.
July 6, 1993 - May 25, 2006
UBS FINANCIAL SERVICES INC.
November 18, 1986 - July 27, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
