Anthony J. 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.
Anthony James Parsons, who also goes by Tony Parsons, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1998. Anthony had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2019 - March 9, 2020
BANKERS LIFE SECURITIES, INC.
August 1, 2016 - February 27, 2018
EQUITABLE ADVISORS, LLC
June 30, 2015 - July 19, 2016
MML INVESTORS SERVICES, LLC
September 21, 2010 - June 15, 2015
ONEAMERICA SECURITIES, INC.
October 28, 2008 - August 13, 2010
MML INVESTORS SERVICES, LLC
September 23, 2005 - October 6, 2008
NEW ENGLAND SECURITIES
December 2, 2004 - October 14, 2005
PARK AVENUE SECURITIES LLC
October 5, 1998 - October 21, 2004
EQUITY SERVICES, INC.
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
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
