AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WP

William B. Park

Some features on this profile are disabled
CRD#: 2073037
WP

Professional summary

William Brown Park was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, William had worked at 5 firms, which includes UNITED EQUITY SECURITIES LLC, AURA FINANCIAL SERVICES INC., UNITED SECURITIES ALLIANCE INC., WMA SECURITIES INC., PFS INVESTMENTS INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 11, 2006 - December 31, 2010

UNITED EQUITY SECURITIES, LLC

RIA
CRD#: 47261
HOUSTON, TX
Past

April 25, 2006 - October 4, 2010

UNITED EQUITY SECURITIES, LLC

BD
CRD#: 47261
HOUSTON, TX
Past

August 9, 2005 - May 12, 2006

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BIRMINGHAM, AL
Past

September 14, 2001 - July 25, 2005

UNITED SECURITIES ALLIANCE, INC.

RIA
CRD#: 36487
HOUSTON, TX
Past

September 14, 2001 - July 25, 2005

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past

November 4, 1994 - September 19, 2001

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

November 29, 1990 - November 8, 1994

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/5/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/26/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/5/2005
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/13/1992
Investment Company Products/Variable Contracts Principal Examination

Current Firm

UE
UNITED EQUITY SECURITIES, LLC
PARSONS FINANCIAL MANAGEMENT, LLC | UNITED EQUITY SECURITIES, LLC

CRD#: 47261 / SEC#: , 8-51728

BD
Terminated by SEC on 10/11/2010
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
Mailing Address
Phone number
Established
Connecticut since 01/01/1994
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
UEG, INC.PARENT COMPANY
PARK, WILLIAM BROWNCCO2073037

Disclosures

Regulatory Event1
Arbitration2

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

UNITED EQUITY SECURITIES, LLC

CRD#: 47261

TRUST BUT VERIFY

Monitor William Park

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.