Ronald M. 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.
Ronald Mark Parker, who also goes by Ronald M Parker, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 3, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2017 - December 20, 2021
CALDWELL SUTTER CAPITAL, INC.
July 31, 2003 - October 29, 2003
GARDNER RICH, L.L.C.
July 31, 2003 - August 5, 2009
GARDNER RICH, L.L.C.
April 26, 2001 - July 31, 2017
SUTTER SECURITIES INCORPORATED
December 12, 1997 - March 29, 2001
OPPENHEIMER & CO. INC.
October 29, 1997 - November 12, 1997
FIRST SOUTHWEST COMPANY, LLC
July 29, 1994 - September 5, 1996
SUTTER SECURITIES INCORPORATED
August 12, 1983 - May 23, 1994
J.P. MORGAN SECURITIES LLC
May 7, 1980 - June 24, 1983
WESTPAC POLLOCK & CO. INC.
May 20, 1974 - May 2, 1980
SALOMON BROTHERS INC.
Primary Firm SEC Registration
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 5/16/1974
Registered Representative ExaminationSeries 40
Date: 12/29/1977
Registered Principal ExaminationCurrent Firm
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HELMER FAMILY TRUST DATED 3/8/2022 | SHAREHOLDER | |
| JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 | SHAREHOLDER | |
| ALLEN, MARI | MANAGING DIRECTOR | 1705748 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | FINANCIAL AND OPERATIONS PRINCIPAL | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF COMPLIANCE OFFICER | 5085595 |
| DUCOTE, JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | 72548 |
| HELMER, JOHN CALDWELL | FOUNDER, TRUSTEE | 242398 |
| HELMER, JOSEPH FRANCIS | PRESIDENT, CO-TRUSTEE | 1860949 |
| HELMER, KATHLEEN REILLY | DIRECTOR, TRUSTEE | 6613066 |
| METCALF, SUSAN DIANE | MANAGING DIRECTOR | 1547365 |
Regulatory assets under management
| Total Number of Accounts | 1,225 |
| AUM (Assets Under Management) | $ 571,092,070 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/25/2024 | ||
| 11/29/2022 |
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.
