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Jerry Lee Parker

CRD# 356642·Registered 1974 - 2011
Previously Registered: Being a previously registered professional could mean that Jerry 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.

Professional Summary

Jerry Lee Parker was a registered financial advisor. Jerry was a previously registered financial advisor and started their career in finance 1974 - 2011. Jerry had worked at 4 firms and has passed the Series 63, Series 1, Series 24 and Series 39 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

52 years in the financial services industry

Current & Past Employments

CHARTERWEST CONSULTING, INC.·CRD# 111152
RIA
Corona Del Mar, CA
October 14, 2009 - April 26, 2011
WEALTH RESOURCE CAPITAL CORPORATION·CRD# 10367
BD
January 13, 1987 - November 23, 1987
DOLPHIN SECURITIES, INC.·CRD# 10525
BD
Irvine, CA
June 4, 1982 - April 6, 2009
CINCINNATI ANALYSTS, INC.·CRD# 5478
BD
September 16, 1974 - June 16, 1982

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1980About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Sep 1974

Series 24 — General Securities Principal Examination

Passed Jan 1987About the Series 24 exam

Series 39 — Direct Participation Programs Principal Examination

Passed Dec 1981About the Series 39 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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