Lawrence H. Parker

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CRD#: 356674

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.

Lawrence Herbert Parker, who also goes by Larry H Parker, Lawrence H Parker, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1969. Lawrence had worked at 10 firms and has passed the Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry H Parker | Lawrence H Parker

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 19, 2018 - November 12, 2021

PRIVATE MANAGEMENT GROUP INC

RIA

CRD#: 104707

Newport Beach, CA

Past

September 12, 2014 - October 2, 2015

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

January 31, 2011 - September 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

IRVINE, CA

Past

December 11, 1995 - November 15, 2010

REGENCY SECURITIES, INC.

CRD#: 7846

IRVINE, CA

Past

November 19, 1989 - November 3, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 21, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 31, 1984 - March 7, 1990

DOLPHIN SECURITIES, INC.

CRD#: 10525

SAN MARCOS, CA

Past

September 18, 1975 - April 18, 2002

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

April 13, 1971 - September 25, 1975

EMPIRE SECURITIES CORPORATION

CRD#: 2826

Past

December 3, 1969 - May 1, 1971

EMPIRE SECURITIES CORPORATION WEST

CRD#: 1000001

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRIVATE MANAGEMENT GROUP INC

CRD#: 104707 / SEC#: 801-28023

RIA

Registered Investment Advisory firm - (9/26/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/24/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 8/18/1969

Registered Representative Examination

Current Firm

PRIVATE MANAGEMENT GROUP INC

CRD#: 104707 / SEC#: 801-28023

RIA

Registered Investment Advisory firm - (9/26/1986 Approved)

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Contact information

Main Address

15635 Alton Parkway Suite 400, Irvine, CA 92618

Mailing Address

Phone number

(949) 752-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B (3/20/2025)

Regulatory assets under management

Total Number of Accounts	6,784
AUM (Assets Under Management)	$ 4,515,879,208

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.

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Firm Stability Insights

Lawrence H. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

FINANCIAL TELESIS INC

REGENCY SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

DOLPHIN SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

EMPIRE SECURITIES CORPORATION

EMPIRE SECURITIES CORPORATION WEST

Primary Firm SEC Registration

PRIVATE MANAGEMENT GROUP INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/1986

SIE

Date: 10/2/2015

Series 1

Date: 8/18/1969

Current Firm

PRIVATE MANAGEMENT GROUP INC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRIVATE MANAGEMENT GROUP INC

TRUST BUT VERIFY

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