Stephen L. Parry
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.
Stephen Leo Parry was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3 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
June 5, 2019 - November 2, 2020
INSTITUTIONAL BOND NETWORK, LLC
January 3, 2011 - July 9, 2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 2, 2008 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
November 16, 2006 - January 28, 2008
BOFA ADVISORS, LLC
November 16, 2006 - January 28, 2008
BOFA DISTRIBUTORS, INC.
July 27, 2005 - November 14, 2006
WELLS FARGO INVESTMENTS, LLC
July 27, 2005 - November 14, 2006
WELLS FARGO INVESTMENTS, LLC
January 30, 2003 - May 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 11, 2002 - May 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 1998 - May 30, 2001
BANC OF AMERICA SECURITIES LLC
July 24, 1998 - October 1, 1998
BANCAMERICA SECURITIES, 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
INSTITUTIONAL BOND NETWORK, LLC
CRD#: 187515 / SEC#: , 8-69609
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAGGE, ERIK NICHOLAS | SENIOR PARTNER, MUNI PRINCIPAL | 3244703 |
| DICKINSON, MARTIN JOHN | OWNER | 1352810 |
| NATALE, CHRISTOPHER JOHN | MANAGING MEMBER & PROPRIETARY TRADER | 4870483 |
| SWEENEY, PATRICK WILLIAM | OWNER | 1350182 |
| ACTON STROIA FAMILY TRUST | TRUST | |
| ACTON, BRIAN LEONARD | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8167174 |
| CLARK, CATHERINE MARIAN | CHIEF COMPLIANCE OFFICER | 4384961 |
| GILMAN, ROBERT CRAIG | FINOP/CFO/PFO/POO | 1738412 |
| KNIPPA, GARY LOUIS | INVESTOR | 8167504 |
| MATHENY, GREGORY SCOTT | INVESTOR | 8167208 |
| NGUYEN, HOAN-VU TRAN | INVESTOR | 8163339 |
| O'MARA, CHRISTOPHER ROY | PROPRIETARY TRADER | 1657262 |
| RUFFIER, WILLIAM EUGENE | INVESTOR | 8167148 |
| STROIA, SHARON MARIE | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8168236 |
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.
