Malcolm R. Parks

CETERA INVESTMENT ADVISERS LLC

MILROY, PA 17063

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CRD#: 1900191

Professional summary

Malcolm Roger Parks is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Milroy, Pennsylvania and CETERA INVESTMENT SERVICES LLC located in Milroy, Pennsylvania.

Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Malcolm has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 62 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)MCS INSURANCE AGENCY, PROPERTY & CASUALTY-DOES NOT INVOLVE SECURITIES CLIENTS. 2)RENTAL PROPERTY 100% OWNER. 3)LADY PATRIOTS. SECRETARY OF GIRLS SOFTBALL TEAM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Roger Parks'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

September 13, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 100 Commerce Drive, Milroy, PA 17063

RIA

CRD#: 105644

MILROY, PA

Current

September 13, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 100 Commerce Drive, Milroy, PA 17063Office #2: 19 N Brown Street, Lewistown, PA 17044Office #3: 4009 E Main Street, Belleville, PA 17004Office #4: 23-27 E Shirley Street, Mt Union, PA 17066Office #5: 1 E Specht Street, Mcclure, PA 17841

CRD#: 15340

Milroy, PA

Past

September 2, 2015 - September 19, 2019

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Lewistown, PA

Past

September 2, 2015 - September 19, 2019

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Lewistown, PA

Past

August 12, 2011 - September 15, 2015

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LEWISTOWN, PA

Past

August 12, 2011 - September 15, 2015

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LEWISTOWN, PA

Past

March 18, 2010 - August 17, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEWISTOWN, PA

Past

March 18, 2010 - August 17, 2011

LPL FINANCIAL LLC

CRD#: 6413

LEWISTOWN, PA

Past

March 29, 2006 - March 22, 2010

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LEWISTOWN, PA

Past

May 1, 2003 - March 22, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LEWISTOWN, PA

Past

January 6, 2003 - May 1, 2003

T.H.E. FINANCIAL GROUP, LTD

CRD#: 14720

MECHANICSBURG, PA

Past

January 9, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

January 9, 1989 - January 23, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Alaska
(10/30/2025)

Georgia
(6/9/2025)

New Jersey
(11/28/2023)

Pennsylvania
(9/13/2019)

IAR

Pennsylvania
(9/13/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/2/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1989

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: 2/25/2010

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/17/2004

Municipal Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 11/13/2003

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 1/6/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Malcolm R. Parks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Roger Parks's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

T.H.E. FINANCIAL GROUP, LTD

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2006

Series 63

Date: 4/11/1989

SIE

Date: 10/1/2018

Series 7

Date: 2/25/2010

Series 52

Date: 8/17/2004

Series 62

Date: 11/13/2003

Series 6

Date: 1/6/1989

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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