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BP

Bruce R. Parry

SOUTHEAST INVESTMENTS, N.C.
Charlotte, NC 28217
Some features on this profile are disabled
CRD#: 1722282
BP

Professional summary

Bruce Robert Parry is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 1988. Bruce has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bruce Robert Parry'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

May 17, 2013 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217
RIA
BD
CRD#: 43035
Charlotte, NC
Past

July 11, 2007 - May 20, 2013

TRUSTMONT FINANCIAL GROUP, INC.

BD
CRD#: 18312
GREENSBURG, PA
Past

September 15, 1999 - July 12, 2007

WHARTON EQUITY CORPORATION

BD
CRD#: 10170
WAYNE, PA
Past

January 23, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

January 23, 1996 - August 26, 1999

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

June 7, 1993 - January 23, 1996

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

December 6, 1990 - June 7, 1993

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

March 22, 1989 - October 31, 1990

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

February 12, 1988 - January 26, 1989

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(1/25/2016)
RR
Maryland
(5/17/2013)
RR
North Carolina
(5/17/2013)
RR
Pennsylvania
(5/17/2013)
RR
West Virginia
(1/25/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/5/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/9/1988
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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.

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035Charlotte, NC 28217

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