Richard L. 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.
Richard Lincoln Parker II, who also goes by Richard L Parker Jr, Richard Lincoln Parker Jr, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1987. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
May 25, 2006 - December 8, 2006
MAIN STREET SECURITIES, LLC
May 9, 2001 - September 18, 2003
SUMMIT FINANCIAL GROUP INC
February 2, 1994 - September 17, 2003
SUMMIT BROKERAGE SERVICES, INC.
October 15, 1990 - May 20, 1994
SECURITIES SERVICE NETWORK, LLC
August 9, 1988 - August 2, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 5, 1987 - August 8, 1988
MORGAN STANLEY DW 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
MAIN STREET SECURITIES, LLC
CRD#: 47127 / SEC#: , 8-51685
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
