Curtis Parks
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.
Curtis Parks, who also goes by Curt Parks, Curtis Parks Jr, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1997. Curtis had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6 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
August 26, 2015 - November 14, 2017
AVANTAX ADVISORY SERVICES
August 4, 2015 - November 14, 2017
AVANTAX INVESTMENT SERVICES, INC.
September 25, 2014 - August 6, 2015
PFS INVESTMENTS INC.
October 22, 2004 - April 27, 2009
MML DISTRIBUTORS, LLC
July 9, 2002 - October 14, 2003
VP DISTRIBUTORS LLC
December 13, 2001 - April 2, 2002
TOWER SQUARE SECURITIES, INC.
March 22, 2000 - June 12, 2001
CITIGROUP GLOBAL MARKETS INC.
April 21, 1998 - July 16, 1998
NATIONAL SECURITIES CORPORATION
January 21, 1998 - April 29, 1998
CHATFIELD DEAN & CO., INC.
June 17, 1997 - November 28, 2000
INTERCOASTAL CAPITAL MARKETS, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
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.
