Wesley S. 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.
Wesley Stephen Parker, who also goes by Wes Parker, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 2000. Wesley had worked at 8 firms and has passed the Series 66, 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
September 24, 2015 - March 28, 2019
SYNOVUS SECURITIES, INC.
September 24, 2015 - March 28, 2019
SYNOVUS SECURITIES, INC.
August 16, 2010 - September 24, 2015
MORGAN STANLEY
August 16, 2010 - September 24, 2015
MORGAN STANLEY
April 24, 2007 - August 11, 2010
MORGAN KEEGAN & COMPANY, LLC
April 24, 2007 - August 11, 2010
MORGAN KEEGAN & COMPANY, LLC
September 23, 2005 - April 24, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
June 1, 2005 - September 19, 2005
AMSOUTH ASSET MANAGEMENT, INC.
July 10, 2003 - July 7, 2004
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
February 18, 2003 - July 10, 2003
AMSOUTH INVESTMENT SERVICES, INC.
February 6, 2001 - April 24, 2007
AMSOUTH INVESTMENT SERVICES, INC.
August 29, 2000 - February 1, 2001
IDS LIFE INSURANCE COMPANY
August 29, 2000 - February 1, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
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
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
