Jimmie K. 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.
Jimmie Kaye Parker, who also goes by Jim Parker, was a registered financial professional .
Jimmie is a previously registered financial professional and started their career in finance in 1988. Jimmie had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 8 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
April 20, 2016 - June 25, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 17, 2016 - June 25, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 2011 - March 18, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 2, 2009 - January 4, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 6, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - January 4, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 10, 1993 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
February 26, 1990 - July 2, 1993
LPL FINANCIAL LLC
July 20, 1988 - April 13, 1989
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
Series 8
Date: 4/20/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
