Lawrence H. Parker
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.
Lawrence Hubert Parker, who also goes by Hubert Parker, L Hubert Parker, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1993. Lawrence had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2014 - October 8, 2016
WADDELL & REED
February 7, 2014 - October 8, 2016
WADDELL & REED
October 5, 2009 - February 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
August 23, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 30, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 20, 2004 - July 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1999 - April 23, 2001
PIPER SANDLER & CO.
October 13, 1993 - May 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 1993 - September 9, 1993
IDS LIFE INSURANCE COMPANY
July 9, 1993 - September 9, 1993
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
