Paul A. 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.
Paul Anthony Parker was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1982. Paul had worked at 9 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2002 - April 10, 2003
THE O.N. EQUITY SALES COMPANY
December 14, 2000 - June 25, 2002
WALNUT STREET SECURITIES, INC.
February 23, 2000 - December 14, 2000
LOCUST STREET SECURITIES, INC.
May 15, 1996 - January 18, 2000
THE ADVISORS GROUP, INC.
June 17, 1994 - April 26, 1996
WOODBURY FINANCIAL SERVICES, INC.
August 30, 1991 - May 16, 1994
OPPENHEIMER & CO. INC.
April 3, 1987 - May 15, 1990
MML INVESTORS SERVICES, LLC
February 27, 1985 - April 21, 1987
NEW ENGLAND SECURITIES
February 2, 1982 - January 16, 1985
DIVERSE FINANCIAL CORP.
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
Series 1
Date: 1/20/1971
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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