Richard L. 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.
Richard Leroy Parker, who also goes by Dick Parker, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 9 firms and has passed the Series 63 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
August 10, 2010 - January 3, 2013
AMERICAN FUNDS & TRUSTS INCORPORATED
August 17, 2009 - July 9, 2010
STONEX SECURITIES INC.
October 25, 2002 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
February 9, 2000 - October 23, 2002
TRADEWAY SECURITIES GROUP, INC.
June 7, 1990 - March 2, 2000
NETWORK CAPITAL CORPORATION
February 17, 1989 - May 31, 1990
FIRST MONTAUK SECURITIES CORP.
January 27, 1982 - February 1, 1989
WESTERN CAPITAL & SECURITIES, INC.
December 28, 1973 - November 28, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 14, 1969 - February 14, 1974
PARKER-JACKSON & CO., 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
Series 1
Date: 10/11/1959
Registered Representative ExaminationCurrent Firm
AMERICAN FUNDS & TRUSTS INCORPORATED
CRD#: 1066 / SEC#: , 8-6939
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 1 |
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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