John C. Parsons
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.
John Clifton Parsons was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 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
June 4, 2012 - November 17, 2022
CAPITAL ANALYSTS
June 1, 2012 - November 17, 2022
LINCOLN INVESTMENT
June 1, 2012 - November 17, 2022
LINCOLN INVESTMENT
October 29, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
May 28, 2009 - June 1, 2012
CINCINNATI ANALYSTS, INC.
September 30, 2008 - June 1, 2009
INVESTACORP ADVISORY SERVICES INC
August 29, 2007 - April 8, 2009
INVESTACORP, INC.
November 24, 2003 - September 2, 2005
OSAIC FA, INC.
November 24, 2003 - September 2, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 24, 2003 - September 2, 2005
OSAIC FA, INC.
June 3, 1992 - October 22, 2003
OSAIC FA, INC.
June 2, 1992 - October 22, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 2, 1992 - October 22, 2003
OSAIC FA, INC.
August 27, 1991 - May 7, 1992
MML INVESTORS SERVICES, LLC
June 6, 1991 - August 12, 1991
BMA FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/22/2025 | ||
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
