James D. Parker

FREMONT FINANCIAL ADVISORS

RIVERTON, WY 82501

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CRD#: 3127370

Professional summary

James David Parker, who also goes by Dave Parker, James Parker, is a registered financial advisor currently at FREMONT FINANCIAL ADVISORS INC. located in Riverton, Wyoming.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. James has worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Parker | James Parker

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) - RIA

Click below to view James David Parker's CRS (Customer Relationship Summary).

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

Current

May 24, 2023 - Present

FREMONT FINANCIAL ADVISORS INC.

Office #1: 2220 Riverview Road, Riverton, WY 82501

RIA

CRD#: 145865

RIVERTON, WY

Past

July 2, 2013 - December 31, 2017

FREMONT FINANCIAL ADVISORS INC.

RIA

CRD#: 145865

RIVERTON, WY

Past

May 21, 2007 - June 29, 2010

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

RIVERTON, WY

Past

July 3, 2006 - June 29, 2010

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

RIVERTON, WY

Past

December 6, 2001 - July 17, 2006

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

RIVERTON, WY

Past

January 12, 1999 - December 6, 2001

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wyoming
(5/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/2/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/17/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/14/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/11/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FREMONT FINANCIAL ADVISORS INC.

CRD#: 145865 / SEC#: 801-68756

RIA

Registered Investment Advisory firm - (3/23/2018 Terminated)

Wyoming

Registered Investment Advisory firm - (7/11/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2220 Riverview Road, Riverton, WY 82501

Mailing Address

Phone number

(307) 856-1234

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 10,055,866

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

James D. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James David Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

FREMONT FINANCIAL ADVISORS INC.

FREMONT FINANCIAL ADVISORS INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2013

Series 66

Date: 5/17/2007

Series 63

Date: 1/11/1999

Series 7

Date: 11/14/2003

Series 6

Date: 1/11/1999

Current Firm

FREMONT FINANCIAL ADVISORS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FREMONT FINANCIAL ADVISORS INC.

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