Brian E. 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.
Brian E Parker was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2010 - November 29, 2017
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
September 20, 2007 - September 30, 2010
FIRST REPUBLIC WEALTH ADVISORS, LLC
February 12, 2007 - November 29, 2017
FIRST REPUBLIC SECURITIES COMPANY, LLC
November 29, 2006 - February 9, 2007
EMMETT A LARKIN COMPANY, INC.
November 27, 2006 - February 9, 2007
EMMETT A LARKIN COMPANY, INC.
March 22, 2005 - September 29, 2005
ALLSPRING FUNDS DISTRIBUTOR, LLC
August 31, 2001 - March 23, 2005
WELLS FARGO INVESTMENTS, LLC
August 30, 2001 - March 23, 2005
WELLS FARGO INVESTMENTS, LLC
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
Current Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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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