Raymond A. Parkins
Professional summary
Raymond Alexander Parkins JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Raymond had worked at 7 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, THE PARKINS INVESTMENT SECURITIES CORPORATION, INTEGRATED RESOURCES EQUITY CORPORATION, INVESTMENT MANAGEMENT & RESEARCH INC, RAYMOND JAMES & ASSOCIATES INC., FINANCIAL SERVICE CORPORATION OF AMERICA.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2000 - September 4, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 17, 1999 - February 14, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 12, 1977 - May 17, 1999
THE PARKINS INVESTMENT SECURITIES CORPORATION
May 19, 1975 - August 15, 1977
INTEGRATED RESOURCES EQUITY CORPORATION
May 30, 1974 - June 12, 1975
INVESTMENT MANAGEMENT & RESEARCH INC
March 7, 1974 - July 3, 1974
RAYMOND JAMES & ASSOCIATES, INC.
August 20, 1968 - April 15, 1974
FINANCIAL SERVICE CORPORATION OF AMERICA
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
F04
Date: 3/23/1977
Financial Principal ExaminationSeries 00
Date: 1/20/1971
General Securities Principal ExaminationSeries 40
Date: 8/14/1968
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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