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Russell M. Parker

RETIREONE INVESTMENT SERVICES
Louisville, KY 40202
Some features on this profile are disabled
CRD#: 2158348
RP

Professional summary

Russell Matthew Parker CIMA, who also goes by Russ Parker, Russell M Parker Cima, Russell M Parker, is a registered financial professional currently at RETIREONE INVESTMENT SERVICES, LLC located in Louisville, Kentucky.

Russell is registered as a RR (Registered Representative) and started their career in finance in 1991. Russell has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Russ Parker | Russell M Parker Cima | Russell M Parker

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 Russell Matthew Parker CIMA'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

April 28, 2020 - Present

RETIREONE INVESTMENT SERVICES, LLC

Office #1: 222 South 1st Street, Suite 600, Louisville, KY 40202
BD
CRD#: 269923
Louisville, KY
Past

January 3, 2017 - December 31, 2019

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
SAN FRANCISCO, CA
Past

May 6, 2014 - December 31, 2016

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA
Past

April 25, 2008 - November 7, 2012

FBR INVESTMENT SERVICES, INC.

BD
CRD#: 43442
ARLINGTON, VA
Past

August 21, 2007 - April 24, 2008

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
ARLINGTON, VA
Past

March 14, 2007 - June 11, 2007

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
STAMFORD, CT
Past

January 27, 2005 - December 16, 2005

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

November 12, 1998 - May 29, 2003

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

November 19, 1991 - September 28, 1998

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

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
Virginia
(4/28/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/1994
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 7
Date: 11/18/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/19/2003
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RETIREONE INVESTMENT SERVICES, LLC
EF LEGACY SECURITIES, LLC | RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923 / SEC#: , 8-69640

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Mailing Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Phone number
(877) 575-2742
Established
Delaware since 05/05/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RETIREONE, INC.OWNER
GILMAN, ROBERT CRAIGFINOP, PFO1738412
GRAY, LEVEN RAINEYCHIEF COMPLIANCE OFFICER707493
MERCIER, EDWARD JAMESCHIEF EXECUTIVE OFFICER1370339

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

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923Louisville, KY 40202

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