Michael J. 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.
Michael Joe Parker, who also goes by Michael Parker, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 2000. Michael had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2008 - January 23, 2009
ESSEX NATIONAL SECURITIES, LLC
July 13, 2007 - August 21, 2008
BROAD STREET SECURITIES, INC.
March 7, 2005 - July 13, 2007
AMERIPRISE ADVISOR SERVICES, INC.
March 4, 2005 - July 13, 2007
AMERIPRISE ADVISOR SERVICES, INC.
April 1, 2003 - March 8, 2005
FERRIS, BAKER WATTS, LLC
March 31, 2003 - March 8, 2005
FERRIS, BAKER WATTS, LLC
September 7, 2000 - March 31, 2003
MORGAN STANLEY DW 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
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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.
