Frank J. Parker
Professional summary
Frank James Parker, who also goes by Jim Parker, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Jacksonville, Florida.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1973. Frank has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank James Parker's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 13500 Sutton Park Dr S Ste 102, Jacksonville, FL 32224April 13, 2009 - March 10, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 15, 2001 - April 22, 2009
JANNEY MONTGOMERY SCOTT LLC
February 27, 1997 - June 27, 2001
ROBERT W. BAIRD & CO. INCORPORATED
January 8, 1994 - February 25, 1997
UBS FINANCIAL SERVICES INC.
February 12, 1993 - December 3, 1993
J.C. BRADFORD & CO.
April 16, 1991 - February 11, 1992
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 16, 1977 - October 16, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
August 21, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
November 8, 1974 - October 8, 1975
SHEARSON HAYDEN STONE INC.
February 14, 1973 - November 8, 1974
SHEARSON, HAMMILL & CO., 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
(6/10/2025)
(4/16/2015)
(4/16/2015)
(4/22/2015)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/9/1973
Registered Representative ExaminationFINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Jacksonville, FL 32224TRUST BUT VERIFY
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