Douglas B. Parkey
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.
Douglas Bryan Parkey SR., who also goes by Douglas B Parkey, Douglas Bryan Parkey, Doug Parkey, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2001. Douglas had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
April 13, 2018 - June 20, 2019
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
April 2, 2018 - June 20, 2019
FIRST REPUBLIC SECURITIES COMPANY, LLC
January 4, 2017 - April 18, 2018
TRUIST ADVISORY SERVICES, INC.
July 30, 2016 - April 18, 2018
TRUIST INVESTMENT SERVICES, INC.
April 14, 2010 - July 19, 2016
J.P. MORGAN SECURITIES LLC
June 4, 2009 - May 10, 2010
MORGAN STANLEY
December 2, 2003 - November 29, 2007
UBS FINANCIAL SERVICES INC.
March 28, 2003 - December 4, 2003
SOUTHTRUST SECURITIES, LLC
February 5, 2001 - June 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
