William A. Parks

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CRD#: 2801804

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.

William Allen Parks JR, who also goes by W Allen Parks, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1996. William had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

W Allen Parks

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 1, 2017 - July 13, 2018

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

HOUSTON, TX

Past

September 19, 2016 - January 26, 2017

STORMHARBOUR SECURITIES LP

CRD#: 35997

NEW YORK, NY

Past

March 18, 2016 - February 23, 2017

ENTORO SECURITIES, LLC

CRD#: 35192

HOUSTON, TX

Past

April 4, 2014 - May 21, 2014

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

HOUSTON, TX

Past

June 22, 2012 - February 21, 2014

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

HOUSTON, TX

Past

November 24, 2004 - August 26, 2010

PPHB SECURITIES LP

CRD#: 132074

HOUSTON, TX

Past

June 29, 2001 - March 5, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 2, 1998 - March 26, 2001

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

December 16, 1996 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 9/7/2004

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/2004

General Securities Principal Examination

Current Firm

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

360 Madison Ave 22nd Floor, New York, NY 10017

Mailing Address

360 Madison Ave 22nd Floor, New York, NY 10017

Phone number

(212) 616-7700

Established

Delaware since 05/04/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SEAPORT GLOBAL HOLDINGS LLC	PARENT COMPANY
MEAGHER, MICHAEL JEFFERSON	CEO	1755168
MEYER, MICHAEL JOHN	FIXED INCOME TRADING SUPERVISOR	1746788
SMITH, STEPHEN CORCORAN	TREASURER	1248750
WITTHAUT, MARKUS CLEMENS	FINOP/CCO/CFO/PFO	4480831

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

William A. Parks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STORMHARBOUR SECURITIES LP

ENTORO SECURITIES, LLC

GLOBAL HUNTER SECURITIES, LLC

GLOBAL HUNTER SECURITIES, LLC

PPHB SECURITIES LP

CIBC WORLD MARKETS CORP.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/1996

SIE

Date: 7/13/2018

Series 7

Date: 12/13/1996

Series 28

Date: 9/7/2004

Series 24

Date: 8/16/2004

Current Firm

SEAPORT GLOBAL SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SEAPORT GLOBAL SECURITIES LLC

TRUST BUT VERIFY

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