Franklin D. 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.
Franklin David Parker was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1998. Franklin had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2018 - January 7, 2020
LAZARD MIDDLE MARKET LLC
June 3, 2015 - March 29, 2018
TRUIST SECURITIES, INC.
January 2, 2009 - March 13, 2015
RBC CAPITAL MARKETS, LLC
August 5, 1998 - December 31, 2008
RBC DANIELS, L.P.
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
LAZARD MIDDLE MARKET LLC
CRD#: 146092 / SEC#: , 8-67786
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
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.
