James R. Parker
Professional summary
James Ronald Parker was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James Ronald Parker, who also goes by James R Parker, Jim Parker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 8 firms and has passed the Series 63, Series 22, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2005 - August 25, 2009
PORTFOLIO ADVISORS ALLIANCE, LLC
October 25, 2002 - February 7, 2005
USA SECURITIES, LLC
January 6, 1992 - June 8, 1994
FIRST AFFILIATED SECURITIES
July 22, 1983 - December 24, 1991
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1978 - October 4, 1983
MORGAN STANLEY DW INC.
August 29, 1973 - February 24, 1978
REYNOLDS SECURITIES, INC.
November 14, 1972 - December 7, 1973
DOMIK CORP.
December 10, 1968 - November 20, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 12/6/1968
Registered Representative ExaminationCurrent Firm
PORTFOLIO ADVISORS ALLIANCE, LLC
CRD#: 101680 / SEC#: , 8-52125
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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