Harriet M. Parker

GREENWICH WEALTH MANAGEMENT | Financial Advisor

Greenwich, CT 06830

Some features on this profile are disabled

CRD#: 1713912

Professional summary

Harriet Madoff Parker, who also goes by Harriet Madoff, Harriet Oswald, Harriet M Parker, Harriet Parker, is a registered financial advisor currently at GREENWICH WEALTH MANAGEMENT, LLC located in Greenwich, Connecticut.

Harriet is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Harriet has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Harriet Madoff | Harriet Oswald | Harriet M Parker | Harriet Parker

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.

(1) Name of Business: LionSmith LLC Address: 26 Buxton Lane, Riverside, CT 06878, United States Activity Type: Lionsmith LLC remains an actively-registered corporation based in Delaware. Its DBA (and sole operating unit) was Four Corners Private Wealth - which is now defunct. At this point, we spend no portion of our day on Lionsmith LLC activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harriet Madoff Parker's CRS (Customer Relationship Summary).

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

October 9, 2024 - Present

GREENWICH WEALTH MANAGEMENT, LLC

Office #1: 45 East Putnam Avenue Suite 128, Greenwich, CT 06830

RIA

CRD#: 142820

Greenwich, CT

Past

May 5, 2022 - October 3, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Greenwich, CT

Past

May 5, 2022 - October 3, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Greenwich, CT

Past

July 23, 2010 - June 3, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GREENWICH, CT

Past

July 23, 2010 - June 3, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GREENWICH, CT

Past

June 1, 2009 - August 16, 2010

MORGAN STANLEY

RIA

CRD#: 149777

STAMFORD, CT

Past

June 1, 2009 - August 16, 2010

MORGAN STANLEY

CRD#: 149777

STAMFORD, CT

Past

February 21, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

STAMFORD, CT

Past

February 21, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

STAMFORD, CT

Past

January 1, 2000 - February 28, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

STAMFORD, CT

Past

March 16, 1999 - February 28, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 20, 1996 - February 4, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 22, 1996 - February 27, 1996

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

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".

GREENWICH WEALTH MANAGEMENT, LLC

GREENWICH WEALTH MANAGEMENT LLC | GREENWICH WEALTH MANAGEMENT, LLC

CRD#: 142820 / SEC#: 801-68897

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Connecticut

Registered Investment Advisory firm - (3/24/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (3/24/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(10/10/2024)

IAR

Connecticut
(10/9/2024)

IAR

Massachusetts
(1/22/2025)

IAR

New York
(10/9/2024)

IAR

Pennsylvania
(10/10/2024)

IAR

Texas
(10/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/1995

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/10/1993

National Commodity Futures Examination

Current Firm

GREENWICH WEALTH MANAGEMENT, LLC

GREENWICH WEALTH MANAGEMENT LLC | GREENWICH WEALTH MANAGEMENT, LLC

CRD#: 142820 / SEC#: 801-68897

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Connecticut

Registered Investment Advisory firm - (3/24/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (3/24/2008 Terminated)

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

45 East Putnam Avenue Suite 128, Greenwich, CT 06830

Mailing Address

Phone number

(203) 618-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GWM FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	495
AUM (Assets Under Management)	$ 2,710,651,273

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harriet M. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harriet Madoff Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

AUGMENT SECURITIES INC.

Primary Firm SEC Registration

GREENWICH WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/8/1999

Series 63

Date: 1/5/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/11/1995

Series 3

Date: 3/10/1993

Current Firm

GREENWICH WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREENWICH WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors