Richard F. Parker
Professional summary
Richard F Parker, who also goes by Richard Finbar Parker, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Saddle Brook, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard F Parker's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 250 Pehle Avenue 9th Floor Plaza 2 - Suite 900, Saddle Brook, NJ 07663July 31, 2019 - July 31, 2020
WILLIAM O'NEIL SECURITIES
August 24, 2016 - April 2, 2019
SEAPORT GLOBAL SECURITIES LLC
May 7, 2012 - March 18, 2016
GUGGENHEIM SECURITIES, LLC
February 28, 2012 - May 3, 2012
LOOP CAPITAL MARKETS LLC
November 1, 2010 - November 2, 2010
COWEN PRIME SERVICES LLC
November 1, 2010 - December 2, 2011
MF GLOBAL INC.
March 13, 2009 - November 2, 2010
SANDERS MORRIS LLC
January 11, 2005 - March 13, 2009
STANFORD GROUP COMPANY
April 12, 2004 - November 9, 2004
CHARLES SCHWAB & CO., INC.
January 12, 2004 - November 9, 2004
UBS CAPITAL MARKETS L.P.
May 13, 1999 - January 12, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
June 25, 1997 - May 19, 1999
HSBC SECURITIES (USA) INC.
September 14, 1995 - June 13, 1997
MORGAN KEEGAN & COMPANY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2021)
(5/6/2022)
Exams
Series 55
Date: 4/3/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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