Sean P. Parker

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CRD#: 4719244

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.

Sean Patrick Parker, who also goes by Sean P Parker, Sean Parker, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2003. Sean had worked at 15 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean P Parker | Sean Parker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. PARKER SERVES AS CHIEF STRATEGY OFFICER OF KAPITALWISE, INC., LOCATED AT 43 WEST 23RD STREET, NEW YORK, NY 10010. KAPITALWISE IS A FINTECH START UP, FOCUSED ON AUTOMATION SOLUTIONS FOR BANKING INSTITUTIONS. MR. PARKER ADVISES ON STRATEGIC PARTNERSHIPS AND ACTS AS A LIASON BETWEEN CORPORATE CLIENTS AND KAPITALWISE DEVELOPMENT TEAM. MR. PARKER BEGAN THIS NON-INVESTMENT RELATED ACTIVITY IN MARCH, 2021 AND SPENDS 2 HOURS PER MONTH ALL DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 13, 2021 - March 23, 2022

TOEWS ASSET MANAGEMENT

RIA

CRD#: 106304

NORTHFIELD, NJ

Past

July 2, 2021 - March 23, 2022

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

September 2, 2020 - January 4, 2021

ASCENDANT ALTERNATIVE STRATEGIES, LLC

CRD#: 283881

WHITE PLAINS, NY

Past

December 20, 2019 - May 1, 2020

COWEN PRIME SERVICES LLC

CRD#: 153397

Darien,, CT

Past

January 15, 2019 - December 20, 2019

BEECH HILL SECURITIES, INC.

CRD#: 24771

NEW YORK, NY

Past

September 20, 2016 - November 26, 2018

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

RIA

CRD#: 36155

CHICAGO, IL

Past

September 20, 2016 - March 26, 2019

PT ASSET MANAGEMENT, LLC

RIA

CRD#: 107619

CHICAGO, IL

Past

September 20, 2016 - November 26, 2018

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

CRD#: 36155

CHICAGO, IL

Past

July 24, 2015 - September 16, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

OAK BROOK, IL

Past

September 25, 2012 - September 27, 2012

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111135

CHICAGO, IL

Past

September 25, 2012 - July 14, 2015

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

April 20, 2011 - August 31, 2012

ARBOR RESEARCH & TRADING, LLC

CRD#: 21313

BARRINGTON, IL

Past

July 13, 2010 - April 27, 2011

MELVIN SECURITIES, L.L.C.

CRD#: 29767

CHICAGO, IL

Past

May 2, 2008 - July 12, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHICAGO, IL

Past

May 2, 2008 - July 12, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICAGO, IL

Past

April 2, 2007 - May 5, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

OAK BROOK, IL

Past

April 2, 2007 - May 5, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

OAK BROOK, IL

Past

December 20, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

OAK BROOK, IL

Past

November 24, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

OAK BROOK, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOEWS ASSET MANAGEMENT

BEHAVIORAL INVESTING INSTITUTE | TOEWS CORPORATION | TOEWS ASSET MANAGEMENT | TOEWS | SYNTHESIS INVESTMENTS ASSET MANAGEMENT

CRD#: 106304 / SEC#: 801-47765

RIA

Registered Investment Advisory firm - (12/9/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/19/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/13/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/21/2003

General Securities Representative Examination

Current Firm

TOEWS ASSET MANAGEMENT

BEHAVIORAL INVESTING INSTITUTE | TOEWS CORPORATION | TOEWS ASSET MANAGEMENT | TOEWS | SYNTHESIS INVESTMENTS ASSET MANAGEMENT

CRD#: 106304 / SEC#: 801-47765

RIA

Registered Investment Advisory firm - (12/9/1994 Approved)

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Contact information

Main Address

1750 Zion Road Suite 201, Northfield, NJ 08225-1844

Mailing Address

Phone number

(877) 863-9726

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 945,114,686

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean P. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

ASCENDANT ALTERNATIVE STRATEGIES, LLC

COWEN PRIME SERVICES LLC

BEECH HILL SECURITIES, INC.

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

PT ASSET MANAGEMENT, LLC

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

FIDELITY BROKERAGE SERVICES LLC

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

MESIROW FINANCIAL, INC.

ARBOR RESEARCH & TRADING, LLC

MELVIN SECURITIES, L.L.C.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TOEWS ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2021

Series 66

Date: 12/19/2003

SIE

Date: 10/1/2018

Series 31

Date: 2/13/2004

Series 7

Date: 11/21/2003

Current Firm

TOEWS ASSET MANAGEMENT

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOEWS ASSET MANAGEMENT

TRUST BUT VERIFY

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