Theodore R. 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.
Theodore Robert Parker, who also goes by Ted Robert Parker, Theodore Robert Parker, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1987. Theodore had worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2023 - March 17, 2025
FIDELITY BROKERAGE SERVICES LLC
June 17, 2015 - January 23, 2018
PACIFIC SELECT DISTRIBUTORS, LLC
April 14, 2011 - June 1, 2015
WINDHAVEN INVESTMENT MANAGEMENT, INC.
January 21, 2010 - July 21, 2010
MUTUAL SECURITIES, INC.
November 11, 2009 - January 22, 2010
INVESTMENT SECURITY CORPORATION
October 30, 2009 - April 1, 2011
LIDO ADVISORS
May 15, 2008 - October 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2008 - October 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2006 - April 18, 2008
WELLS FARGO INVESTMENTS, LLC
January 4, 2006 - April 18, 2008
WELLS FARGO INVESTMENTS, LLC
April 6, 2001 - September 19, 2005
STRATEGIC ADVISERS LLC
September 20, 2000 - September 19, 2005
FIDELITY PERSONAL TRUST COMPANY, FSB
April 1, 1996 - September 19, 2005
FIDELITY BROKERAGE SERVICES LLC
December 6, 1991 - March 1, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 12, 1987 - December 31, 1991
G. R. PHELPS & CO., 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
Series 7TO
Date: 6/16/2023
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
